April 2020- McAllen, TX The FINRA records of Ramon Esparza , a broker previously employed by Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…
read moreApril 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…
read moreApril 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event and a customer…
read moreApril 2020 -Addison, TX The FINRA records of Jon M. Reppert , a former stockbroker who was previously registered with Madison Avenue Securities , disclose an $18.3 million pending customer dispute. The Financial Industry…
read moreJune 2020 -Atlanta, GA The FINRA records of Christopher J. Wenner , a stockbroker previously registered with Peachtree Capital Corp. , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreOctober 2020-San Francisco, CA The FINRA records of James Martin Lamont , a broker who was previously employed by Whitehall-Parker Securities disclose 3 regulatory events, 10 settled customer disputes(which settled cumulatively,…
read moreOctober 2020- Hillside, IL The FINRA records of Jeffrey Scott Nimmow , a broker previously employed by Forest Securities, Inc. , disclose a regulatory event resulting in his bar from the securities industry, two pending customer…
read moreFebruary 2020 -Clive, IA The FINRA records of Rodney David Potratz , a stockbroker who is currently registered with FSC Securities Corporation , disclose a $6 million pending customer dispute. The Financial Industry Regulatory…
read moreFebruary 2010-Hurst, TX According to publicly available records of Kerry D. Wills (CRD#1353739) , a stockbroker employed with First Western Securities, Inc., discloses a regulatory event resulting in a suspension and…
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