Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of Curtis “Curt” Wilson, a currently unregistered broker who was previously employed with Securities America , disclose settlement of customer disputes. The…
read moreAtul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a regulatory event, 9 prior customer disputes and…
read moreRicky Alan Mantei Investigation Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Ricky Alan Mantei, currently employed by…
read moreG. Russell Conrad Investigation July 2023-Lewiston, New York The FINRA records of G. Russell Conrad , a Coastal Equities, Inc. broker, disclose a 2 prior customer disputes involving alternative investments and tenant in…
read moreTexas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…
read moreRoman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans, a broker employed by Raymond James & Associates, Inc. disclose a regulatory matter and a customer dispute. The…
read moreMaria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL
Maria Acevez Perez Investigation June 2023-Miami, FL According to publicly available records Maria Acevez Perez a broker employed by VectorGlobal WMG, discloses a regulatory matter resulting in a six month suspension…
read moreSean Storm Boswick Investigation June 2023-New York, NY The FINRA records of Sean “Storm” Boswick, a former stock broker who was last employed in the industry by Brock Securities , disclose…
read moreCrescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent Securities Group (CRD 114993) was censured and fined $30,000 for…
read more