February 2017-Coral Gables, FL According to publicly available records Alejandro Falla , (CRD# 5064828) , a former stockbroker who was last employed by BAC Florida Investments, disclose a recent regulatory sanction. The Financial Industry Regulatory Authority (FINRA) is…
read moreNovember 2016-Boca Raton, FL According to publicly available records Nicolaas P. Pronk , (CRD# 1726101) , a stockbroker who is employed by Noble Capital Markets, disclose a pending regulatory matter. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreDecember 2016-Pompano Beach, FL According to publicly available records Mark R. Holcombe , (CRD# 2901441) , a stockbroker who is currently under suspension who was last employed by Source Capital Group, disclose a recent regulatory…
read moreFebruary 2017- Plano, Texas In a news release dated February 14, 2017, the Financial Industry Regulatory Authority (FINRA) announced that a FINRA hearing panel expelled Plano, Texas based brokerage firm…
read moreFebruary 2017-Dallas, Texas Patrick O. Howard and two companies he controls, Optimal Economics Capital Partners and Howard Capital Holdings were named in a complaint filed by The Securities and Exchange…
read moreJuly 2016- Dallas, TX FINRA Department of Enforcement filed Disciplinary Proceeding 2015046926801 against Neal Charles Moon (CRD 3271716) and his wife Natalie E. Fogiel Moon (CRD 5010360) alleging that from…
read moreFebruary 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) , a former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…
read moreDecember 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) , a stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…
read moreFebruary 2017-Boca Raton, FL According to publicly available records Brett S. Murphy , (CRD# 2434384) , a stockbroker who is currently registered with Revere Securities, LLC disclose a pending customer dispute. The Financial Industry Regulatory Authority…
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