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Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA
Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA 150 150 ER

Gary Benson Investigation June 2023-Encino, CA According to publicly available record Gary Benson, an Independent Financial Group broker discloses eight prior customer disputes and one pending customer dispute.  The Financial Industry Regulatory…

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Andrew Keefer- IFP Securities Broker- Has $500K Pending Customer Dispute Involving GWG Bonds-Orlando, FL
Andrew Keefer- IFP Securities Broker- Has $500K Pending Customer Dispute Involving GWG Bonds-Orlando, FL 150 150 ER

Andrew Keefer Investigation June 2023 – Orlando, FL According to publicly available records  Andrew J. Keefer ,  a broker with Independent Financial Partners/IFP Securities,  discloses a $500,000 pending customer dispute  The Financial…

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Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA
Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA 150 150 ER

Craig Accardo Investigation June 2023-Metairie, LA According to publicly available records Craig Accardo a FSC Securities Corporation broker discloses a prior customer dispute and a pending customer dispute. The Financial…

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John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL
John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL 150 150 ER

John Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services ,  discloses a final regulatory matter resulting in…

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Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ
Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ 150 150 ER

Ronald Diaz Investigation June 2023-Tuscon, AZ The FINRA records of Ronald Diaz ,  a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in…

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Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY
Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY 150 150 ER

Derek Rehill Investigation June 2023-Garden City, NY According to publicly available records Derek John Rehill, a VCS Venture Securities broker discloses a final regulatory matter.  The Financial Industry Regulatory Authority (FINRA) is…

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Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL
Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL 150 150 ER

Maria Acevez Perez Investigation June  2023-Miami, FL According to publicly available records Maria Acevez Perez a broker employed by  VectorGlobal WMG,  discloses a regulatory matter resulting in a six month suspension…

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Kevin Hobbs – Former Primerica Financial Services Broker- Barred From Securities Industry by Regulators -Lake Worth, FL
Kevin Hobbs – Former Primerica Financial Services Broker- Barred From Securities Industry by Regulators -Lake Worth, FL 150 150 ER

Kevin Hobbs Investigation June 2023-Lake Worth, FL According to publicly available records Kevin Hobbs a former broker who last worked for Primerica Financial Services (PFS Investments),  discloses a final regulatory matter…

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Mirso Muharemovic-Former Arive Capital Markets Broker-Discloses Regulatory Suspension and Three Prior Customer Disputes – Coram, NY
Mirso Muharemovic-Former Arive Capital Markets Broker-Discloses Regulatory Suspension and Three Prior Customer Disputes – Coram, NY 150 150 ER

Mirso Muharemovic Investigation June 2023-Coram, NY According to publicly available records Mirso Muharemovic, a former Arive Capital Markets broker discloses a final regulatory matter and three prior customer disputes.  The Financial Industry…

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