August 2016-New Braunfels, Texas The FINRA records of James E. Mahan, a former stockbroker who most recently worked for Raymond James Financial Services disclose a recent regulatory matter resulting in his permanent…
read moreAltoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…
read moreAugust 2016-Englewood, CO The FINRA records of Jeffrey E. Sigman, a stockbroker who currently is not currently registered disclose 1 prior final customer dispute and a recent employment separation after allegations. The Financial Industry…
read moreMAY 2018 UPDATE-Charles C. Shafe discloses a pending customer dispute in which a customer of Transam Securities alleges damages of $15,597 in connection with a real estate investment. ORIGINAL POST…
read moreEnglewood, CO The FINRA records of Steven Ray Hinkle, a stock broker who currently is employed by Neidiger, Tucker, Bruner discloses a final FINRA regulatory event. The Financial Industry Regulatory Authority (FINRA) is the…
read moreAugust 2016- Buffalo, New York The FINRA records of Raymond T. Clark, a former stock broker who FINRA has permanently barred from acting as a broker or otherwise associating with firms that…
read moreUPDATE MARCH 2018-Joseph M. Thurnherr is now employed by Spartan Capital Securities and has another customer dispute disclosed on his BrokerCheck report. See this for details. Meyers Associates is now …
read moreAugust 2016- Marlton, NJ The FINRA records of Bryan O. Eberle, a stock broker who is currently employed by Client One Securities disclose two terminations from employment. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreAugust 2016- Alice, Texas Michael Anthony Collins pleaded guilty to stock fraud, theft and money laundering and was sentenced to 15 years on each count in Jim Wells County…
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