James Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
read moreShad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of Shad Ketcher, a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreHector Flores Investigation May 2022-Lubbock, TX According to publicly available records Hector Mario Flores, a broker who last worked for MML Investors Services, discloses a final regulatory matter, a settled customer…
read moreJoseph Michaletz Investigation November 2021-Mankato, MN According to publicly available records Joseph G. Michaletz , a stockbroker who is currently registered with DAI Securities, disclose 3 currently pending customer disputes…
read moreRichard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services, discloses a settled customer dispute and a pending customer…
read moreAustin Dutton Investigation November 2021–Doylestown, PA The FINRA records of Austin R. Dutton, Jr. , a stock broker who was previously employed by Newbridge Securities and who is currently employed by American…
read moreBill Burks Investigation November 2021, Flower Mound, TX According to publicly available records William “Bill” Burks II , (CRD# 2944992) , a stockbroker who is registered with Centaurus Financial, discloses 3 pending customer…
read moreDavid Monckton Investigation March 2022-Myrtle Beach, S. Carolina According to publicly available records David Monckton , a stockbroker who was previously registered with Voya Financial Advisors, disclose a currently pending customer disputes…
read moreRichard Demetriou Investigation November 2021-Addison, Texas According to publicly available records Richard Wayne Demetriou, a former stockbroker who last worked for Titan Securities discloses a regulatory event, three customer disputes and a…
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