Grand Junction, CO The FINRA records of John R. Stevens , a stock broker who is currently not licensed and who was last employed by Wilbanks Securities disclose 2 prior customer disputes, 3 pending…
read moreAugust 2016-The Villages, Florida The FINRA records of J.J. Heaton , a stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Heaton’s prior employer.…
read moreMay 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. ORIGINAL POST-July 2016- San Antonio, Texas The FINRA records of Dion R. Padilla , a stock broker currently employed by NEXT…
read moreJune 2016—-Beaumont, Texas According to FINRA records, Terry W. Chilton , a stockbroker who formerly was employed by IMS Securities. discloses a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…
read morePlano, Texas According to FINRA records, Robert M. Kuhn , a stock broker who worked for UBS Financial Services from 9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute and…
read moreMay 15, 2015-Houston, Texas A FINRA (Financial Industry Regulatory Authority) arbitration panel in Houston, Texas, awarded over $1.1 million to a couple who filed a claim alleging that the annuities…
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