June 2020- The Villages, TX According to publicly available records, former Thrivent Investment Management, Inc., financial advisor Thomas Struder, has been barred from the securities industry by FINRA. The Financial…
read moreOctober 2020- Shenandoah, TX According to publicly available records, Mark Sitter (CRD#1810591), a stockbroker formerly employed by Capital Financial Services, discloses a pending customer dispute and 3 prior customer disputes.…
read moreOctober 2020-The Woodlands, TX According to publicly available records of Jesse Webb (CRD#2298761) , a stockbroker with Oppenheimer & Co. lnc., discloses a final regulatory event , 3 settled customer disputes…
read moreOctober 2020- The Woodlands, TX According to publicly available records Richard DeYoung, Jr. (CRD#863849), a stockbroker with Wells Fargo Clearing Services, discloses that a FINRA arbitration panel awarded substantial damages…
read moreOctober 2020- The Woodlands, TX According to publicly available records, Peter Dieter Nett (CRD#4506990), a stockbroker employed with Ameriprise Financial Services, Inc., disclose a recently filed customer dispute. The Financial…
read moreOctober 2020- Hollywood, FL According to publicly available records. Stefan Anton Pastor, (CRD#5141819), a former stockbroker who last worked for Raymond James Financial Services, Inc., discloses a regulatory event, 2…
read moreOctober 2020- Jenkintown, PA According to publicly available records of Thomas W. Molteni (CRD#1022911) , a former stockbroker who last worked for J. Alden Associates, Inc., discloses a regulatory event and …
read moreOctober 2020- Oconomowoc, WI According to publicly available records, former Mutual of Omaha Investor Services, Inc., financial advisor Edward Earl Matthes , discloses 5 regulatory events, a civil event, 15 prior…
read moreOctober 2020- Conshohocken, PA According to publicly available records, former Stifel, Nicolaus & Company, financial advisor Joseph H. Pratt, has been barred from FINRA and discloses 2 settled customer disputes, …
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