Kenia Rocha Investigation May 2022-Miami, FL The FINRA records of Kenia Rocha, a broker with EFG Capital International, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreJuly 2021- Leander, TX According to publicly available records, Randall H. Fields, a registered investment advisor last employed by Facilitar Capital Group, Sensus Wealth Management Group and Acruence Capital , discloses…
read moreJanuary 2020 – Aventura, FL The FINRA records of Matthew Singer, a broker previously employed by Morgan Stanley Smith Barney disclose 3 prior customer disputes and a regulatory event. The Financial Industry Regulatory…
read moreMarch 2018-Logan, Utah An all public FINRA arbitration panel recently orderedand former Allegis broker Brandon C. Stimpson to pay a former client over $400,000 for losses suffered on the buying…
read moreNovember 2019 – El Paso, Texas According to publicly available records Steven T. Yellen , (CRD# 1281663) , a stockbroker who is currently suspended and who was last employed by Ameriprise Financial…
read moreApril 2018 We are currently reviewing potential claims for investors who suffered losses in LJM Preservation and Growth Fund (LJMIX & LJMCX) securities. Once close to a billion dollars, the…
read moreFebruary 13, 2015 OneAmerica Securities, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…
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