October 2019 – Austin, Texas Texas Securities Commissioner, Travis Iles, revoked the registration of Gus Marwieh for fraud related to the sale of pension investments, according to a news release…
read moreOctober 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis , a stockbroker who was last employed by Independent Financial Group , disclose 6 pending customer disputes and 2 prior customer disputes. The Financial…
read moreOctober 2019- Westbury, NY According to publicly available records Allan P Montalbano (CRD#4507029) , a stockbroker who is not currently registered and who was last registered with Worden Capital Management ,…
read moreOctober 2019- NYC, NY According to publicly available records Albert Foronda. (CRD#5737620 , a stockbroker currently registered with Spartan Capital Securities, disclose a prior customer dispute and 2 pending customer dispute.…
read moreOctober 2019, New York, NY According to publicly available records Nicholas James Schiano (CRD#4429212) , a stockbroker who currently is employed by Spartan Capital Securities, discloses 1 prior customer dispute and…
read moreJanuary 2020-McAllen & Brownsville, TX According to publicly available records Yvonne L. Silguero (CRD#4895654) , a stockbroker who works for LPL FInancial discloses 2 pending customer disputes. The Financial Industry Regulatory…
read moreOctober 2019- Louisville, KY According to publicly available records John Dunn Gordinier (CRD#2363965) , a stockbroker currently registered with J.J.B. Hilliard, W.L. Lyons discloses a recently settled customer dispute involving energy investments.…
read moreOctober 2019 – New York, New York The FINRA records of Erik Patrick Pica , a stockbroker who is employed by Joseph Stone Capital , disclose 3 pending customer dispute, 4 prior customer disputes and a…
read moreSeptember 2019 – Hillside, IL The FINRA records of Jack David Stone , a former stockbroker who was last employed by Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…
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