October 2019-Farmington, NY The FINRA records of Praxedes Russi , a financial advisor who currently works for Worden Capital Management and who previously was employed by Salomon Whitney Financial disclose 2…
read moreJuly 2019-New York, NY The FINRA records of Michael Salvatore Stanton, a financial advisor employed by Worden Capital Management disclose 2 regulatory events, 3 prior customer disputes, 1 pending customer dispute, a…
read moreJuly 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL, will close it doors and roll its business up into an…
read moreJuly 2019-Austin, Texas The Texas State Securities Board (TSSB) issued a news release announcing that Metals.Com, has agreed to offer a full refund to some 84 Texas investors. According to…
read moreMarch 2019-Dallas, TX Neil ‘Doc” Gallagher, who calls himself the “Money Doctor” on Dallas area radio stations was was charged with operating a Ponzi Scheme by the Securities and Exchange…
read moreJune 2019-Melville, NY The FINRA records of Abed William Lulu , a financial advisor previously employed by Worden Capital Management disclose 6 regulatory events, 3 prior customer disputes, 4 outstanding judgments. The…
read moreJune 2019- Sarasota, FL According to publicly available records Jodie A. Lamarre (CRD#2127928) , a stockbroker who is currently not registered discloses a regulatory event and 2 settled customer disputes .…
read moreMay 2019- Sugarland, TX According to publicly available records Richard D. Niemann (CRD#348144) , a stockbroker who is currently registered with USB Financial Services, Inc., discloses a regulatory event and 2…
read moreMay 2019-Hot Springs Village, AR According to publicly available records Renee Valerie Altamirano (CRD#5644156) , a stockbroker who is currently not registered, discloses a regulatory event and a termination from employment.…
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