April 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) , a former stockbroker who last worked for Raymond, James & Associates, discloses a regulatory event, 3 customer…
read moreMay 2020-Houston, TX According to publicly available records Thomas J. Lykos, Jr. a stockbroker who was last employed by Sanders Morris Harris discloses a regulatory event and two outstanding judgment…
read moreApril 2020-Dallas, TX The FINRA records of Clayton H. Wertz, a broker last employed in the securities industry by First Canterbury Securities, Inc., disclose a regulatory event resulting in his bar…
read moreApril 2020- McAllen, TX The FINRA records of Ma Rosa Linan Abrego, a broker previously employed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated disclose a regulatory event resulting in a…
read moreApril 2020- Clinton, MI The FINRA records of Donald Teboe, a broker previously employed by Cantella & Co., Inc. , disclose a regulatory event resulting in his bar from the securities industry. The Financial…
read moreApril 2020-El Paso, TX According to publicly available records of Robert Renteria (CRD#5773053) , a broker formerly employed with PFS Investments, Inc., discloses a regulatory event, a settled customer dispute and…
read moreApril 2020-Addison, TX According to publicly available records of John Leighton Mitchell (CRD#336967) , a broker with Titan Securities, discloses one final and three currently pending customer disputes. The Financial Industry…
read moreOctober 2020-Birmingham, AL According to publicly available records of Joseph Monroe Lawrence, III (CRD#5605961) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses a regulatory event and…
read moreMarch 2020- Florham Park, NJ According to publicly available records. James D. D’Meo, (CRD#1444759), a former stockbroker who last worked for Kenneth, Jerome & Co., Inc., discloses 2 regulatory events,…
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