April 2020- Corpus Christi, TX The FINRA records of Richard Earl Cagle, a broker previously employed by Hilltop Securities Independent Network, Inc. , disclose a regulatory event resulting in his bar from the…
read moreApril 2020- Westlake, TX The FINRA records of Ernie Garcia, a broker previously employed by Fidelity Brokerage Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…
read moreApril 2020- El Paso, TX The FINRA records of Miguel Angel Rabio, a broker previously employed by State Farm VP Management Corp. , disclose a regulatory event resulting in his bar from the…
read moreApril 2020-Houston, TX According to publicly available records. Sofia T. Gonzalez (CRD#6243469), a former stockbroker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated discloses 2 regulatory events, …
read moreJune 2020-Staten Island, NY According to publicly available records of Leonard “Lenny” Kinsman (CRD#2816535) , a former broker who was last registered with Wells Fargo Advisors Financial Network, discloses 5 prior…
read moreJune 2020- San Diego, CA The FINRA records of Michael Rappa, a broker previously employed by Foresters Equity Services, , disclose a regulatory event resulting in his bar from the securities industry…
read moreApril 2020- Chicago, IL The FINRA records of Jun Zhou, a broker previously employed by The Leaders Group, Inc. & Farmers Financial Solutions, disclose a regulatory event resulting in her bar from…
read moreApril 2020-San Antonio, TX The FINRA records of Stephen A. Encino, a broker previously employed by NYLife Securities, disclose a regulatory event resulting in his bar from the securities industry. The Financial…
read moreApril 2020-McAllen, TX The FINRA records of Mauricio Borja, a broker previously employed by Allstate Financial Services, disclose a regulatory event resulting in his bar from the securities industry. The Financial Industry…
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