May 2017- Columbus, OH According to publicly available records John G. Chess , (CRD#4812430) , a stockbroker who was previously registered with Investors Capital Corp. discloses two prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreApril 2017- Stuart, FL According to publicly available records Gerard G. Figari, (CRD#1343962) , a stockbroker who was previously registered with Investors Capital Corp. discloses 5 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…
read moreApril 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) , a stockbroker who is currently not registered and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…
read moreApril 2017-Irvine, CA According to publicly available records Daniel Vasquez, Sr. , (CRD#3141463) , a stockbroker who is currently not registered, but previously worked for Cetera Advisors and Investors Capital Corp , discloses two final regulatory…
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