Beachwood, Ohio MAY 2017 UPDATE-In 4/2017 a FINRA arbitration panel in Cleveland, OH, awarded a couple over $1 million in FINRA Case #16-0575, Holmes v Wunderlich Securities and Ralph DeRose.…
read moreApril 2019- New York According to FINRA records, Ronald A. Frumkes, a stockbroker who is not currently registered with any firm and who last worked for Wunderlich Securities , discloses three prior…
read moreNew York According to FINRA records, Humbert B. Powell, III , a stockbroker who works for Wunderlich Securities , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreNew York According to FINRA records, Benjamin G. Aibel , a stockbroker who formerly worked for Wunderlich Securities , discloses two pending customer disputes and 4 prior customer disputes that are resolved. The Financial Industry Regulatory…
read moreGreen Bay, WI According to FINRA records, Matthew J. Streckenbach , a stockbroker who currently works for Packerland Brokerage Services , discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreJackson, TN According to FINRA records, William D. Keltner , a stockbroker who currently works for MWA Financial Services, discloses a recently resolved customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreNew York According to FINRA records, Ari M. Baum , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment and a currently pending customer dispute The Financial Industry Regulatory Authority…
read moreSeptember 2019-Macon, Georgia According to FINRA records, John Nelson Crook , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment, a currently pending customer dispute and a prior finalized…
read moreAustin, Texas According to FINRA records, Rhonda Janeen Matthews (aka Rhonda Allen) , a former stockbroker who most recently worked for Prospera Financial Services , discloses a regulatory event, a termination and 2 outstanding…
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