Justin Anderson Investigation March 2023- Austin, TX According to publicly available records Justin A. Anderson, a former broker who last worked for CUSO Financial Services, discloses a final regulatory matter resulting…
read moreEllen Reynard Investigation March 2022-Beaumont, TX The FINRA records of Ellen Gayle Reynard, a broker previously employed by Raymond James Financial Services , disclose a regulatory matter and a termination from employment.…
read moreJohn Michael Palombo Investigation March 2022-Austin, TX The FINRA records of John Michael Palombo , a former broker previously employed by Robert W. Baird & Co. , disclose a final regulatory matter .…
read moreJeff Graves Investigation March 2023- Addison, TX According to publicly available records Jeffrey Scott Graves, a broker currently employed by Cetera Advisors Networks Inc., discloses a regulatory event. The Financial Industry Regulatory…
read moreBrian Test Investigation March 2022-Frisco, TX The FINRA records of Brian Test , a broker currently employed by Avantax Investment Services, Inc. , disclose a regulatory matter, a final customer dispute, and a…
read moreStephen Wenske Investigation March 2023- Roanoke, TX According to publicly available records Stephen Wenske, a broker who last worked for Edward Jones, discloses a final regulatory event that resulted in his…
read moreWebull Financial LLC Investigation March 2023 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…
read moreMichael J. Petyak- Calton & Assoc. Financial Advisor -Discloses Pending Customer Dispute- Canton, MS
Michael J. Petyak Investigation March 2023- Canton, MS According to publicly available records Michael J. Petyak, a broker currently employed by Calton & Associates, Inc., discloses a pending customer dispute. The Financial…
read moreRobert Melberth Investigation March 2023-Sarasota, FL According to publicly available records Robert Wyla Melberth, a broker employed by Emerson Equity, discloses multiple customer disputes seeking more than $12 million in damages.…
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