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texas securities attorney

Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA

Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA 150 150 ER

Mark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with  LPL Financial discloses four prior customer disputes and one pending customer dispute. …

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Jonathon Ebel – Network 1 Financial Securities Broker-Discloses Multiple Customer Disputes – Hauppauge, NY

Jonathon Ebel – Network 1 Financial Securities Broker-Discloses Multiple Customer Disputes – Hauppauge, NY 150 150 ER

Jonathon Ebel  Investigation June 2023-Hauppauge, NY According to publicly available record Jonathon Ebel, a Network 1 Financial Securities broker discloses three prior customer disputes and two pending customer disputes.  The Financial Industry…

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Michael Lynn Melton-Edward Jones Broker-Discloses Customer Dispute Over Transfer of Estate Assets- Troy, IL

Michael Lynn Melton-Edward Jones Broker-Discloses Customer Dispute Over Transfer of Estate Assets- Troy, IL 150 150 ER

Michael Melton Investigation June 2023-Troy, IL According to publicly available records Michael Lynn Melton an Edward Jones broker, discloses  a pending customer dispute.  The Financial Industry Regulatory Authority (FINRA) is the agency…

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David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ

David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ 150 150 ER

David Lee Todd Investigation June 2023-Peoria, AZ According to publicly available records David Lee Todd a Wells Fargo Clearing Services broker, discloses a pending customer dispute.  The Financial Industry Regulatory Authority (FINRA) is…

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Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA

Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA 150 150 ER

Gary Benson Investigation June 2023-Encino, CA According to publicly available record Gary Benson, an Independent Financial Group broker discloses eight prior customer disputes and one pending customer dispute.  The Financial Industry Regulatory…

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Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $794,000 in Settlements -New York, NY

Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $794,000 in Settlements -New York, NY 150 150 ER

Brian Wurdermann Investigation June  2023-New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets,  discloses a regulatory matter resulting in a…

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