MAY 2018 UPDATE-Minnetonka, MN According to FINRA records, Bernard T. Weber , a broker who has been registered with Feltl & Company since 12/2006 , discloses five prior customer disputes, two final regulatory…
read moreNovember 2019-New York According to FINRA records, Kevin Richard Graetz , a former stock broker who was last registered with Paulson Investment Company discloses that he was barred from the securities…
read morePort Orange, Florida According to FINRA records, Stephen Y. Dealy , a broker who was registered with Investors Capital Corp until 9/2014 , discloses a pending customer dispute and 9 finalized customer disputes. In addition,…
read moreChicago, IL UPDATE AUGUST 2016– According to public records, Ryan Boggs is named in Case #16-0023/ 20150459600 filed by the Chicago Board of Options Exchange alleging that Boggs, on behalf…
read moreCastle Rock, CO According to FINRA records, Judy A. Bat , a broker who is currently registered with Waddell & Reed , discloses a recently filed arbitration by a customer seeking damages of $400,000.…
read moreChandler, AZ According to FINRA records, Jason L. Freiwald , a broker who is currently registered with Waddell & Reed , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreLakeland, Florida According to FINRA records, Edgar A. Thomas , a broker who is currently registered with Calton & Assoc. , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreInvestors suffering losses on KBR Baron’s Cove may be able to recover damages from the brokerage firm that sold the investment. Contact Rex Securities Law for details. No charge initial…
read moreCulver CIty, CA According to FINRA records, Jason B. Vanclef, a broker who is registered with VFG Securities , discloses that he is named in a FINRA complaint alleging that in connection with…
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