February 2019 – Collinsville, IL According to public records, Jay R. Weiser (CRD#1511042) a former stockbroker who was previously employed by Despain Financial Corporation, discloses a regulatory event, a pending customer dispute and…
read moreJanuary 2019 – Baton Rouge, LA According to publicly available records Michael Edward Olinde (CRD# 3063204) , a registered stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…
read moreJanuary 2019- Garden City, NY According to publicly available records Michael Christopher Venturino , a stockbroker who is currently employed by Spartan Capital Securities and was formerly employed by Aegis Capital Corp. and…
read moreJanuary 2019- Ft. Lauderdale, FL According to publicly available records Roger Kroeger, (CRD# 1526864) , a previously registered stockbroker who was last employed by Invest Financial Corporation, disclose a regulatory event,…
read moreJanuary 2019, Austin, TX According to publicly available records Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a cash settlement…
read moreJanuary 2019 – Austin, TX According to publicly available records Trevor Martin Carney (CRD#5657735) , a stockbroker who is currently registered with Ascendant Alternative Strategies , disclose a Regulatory Event and two currently outstanding judgment/liens.…
read moreJanuary 2019 – Austin, TX According to public records of Justin A. Montandon (CRD#4455879) a stockbroker employed by Ameriprise Financial Services, Inc., discloses a regulatory event, a customer dispute settlement. The…
read moreJanuary 2019 – Austin, TX According to publicly available records Omar Charles Richardson , a stockbroker who is currently registered with Charles Schwab & Co., Inc., discloses a pending customer dispute The…
read moreJanuary 2019-Austin, TX According to public records of Daniel Davila, III (CRD#1686004) a stockbroker employed by Purshe Kaplan Sterling Investments, discloses the recent resolution of a customer suit. The Financial Industry Regulatory…
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