Lance Walston/ Dominion Investor Services Investigation August 2022-Horseshoe Bay, TX According to publicly available records Lance Colby Walston, a broker who works for Dominion Investor Services, discloses six prior customer disputes.…
read moreBruce Amman Investigation August 2022-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked for LPL Financial, discloses a final regulatory matter resulting in a one…
read moreWilliam “Bill” Poulter Investigation May 2022- Baton Rouge, LA According to publicly available records, William John Poulter, an LPL Financial broker discloses a pending customer dispute. The Financial Industry Regulatory…
read moreGregg Ferguson Investigation May 2022- Bellville, TX According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…
read moreTony Barouti Investigation Los Angeles, CA According to FINRA records, Tony Barouti , a stockbroker who currently works for EmersonEquity , discloses a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreTodd Sivak Investigation May 2022- Oconomowoc, WI According to publicly available records, Todd W. Sivak, an LPL Financial broker discloses pending customer dispute filed during his employment with MML Investors…
read moreAugust 2021- Lisle, IL According to publicly available records, Raymond Velasco, Sr., a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…
read moreFebruary 2019 – Amarillo, Texas According to public records of Cheryl Ann Stallings (formerly Cheryl Ann Bledsoe) (CRD#1162913) a former stockbroker with LPL Financial, discloses a regulatory event and a termination from…
read moreFebruary 2019- Orlando, FL According to publicly available records Bradley T. Pace (CRD#2097427) , a stockbroker previously registered with LPL Financial, disclose a regulatory event and 2 prior customer disputes. The Financial Industry Regulatory…
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