October 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) , a currently unregistered stockbroker who last worked for IFS Securities , has numerous disclosures: 1 pending…
read moreApril 2017-Austin, Texas The US Attorney’s Office for the Western District of Texas announced that Austin residents Robert Allen Helms and Janniece S. Kaelin pleaded guilty to federal charges of…
read moreApril 2017- Sonoma, CA According to publicly available records James B. Lunsford , (CRD# 2222307) , a former stockbroker who last worked for Mid Atlantic Capital Corp. discloses three pending customer disputes, one prior customer dispute…
read moreApril 2017- New Canaan, CT According to publicly available records Lloyd Dotson , (CRD# 2551716) , a former stockbroker who was last employed by Commonwealth Financial Network discloses a prior regulator event, 2 prior customer…
read moreApril 2017-Frisco, Texas A Texas State Securities Board (TSSB) news release reports that Mark Christopher Parman has been sentenced to six years in state prison after pleading guilty to securities fraud…
read moreApril 2017- Houston, TX According to publicly available records Jesus D. Rodriguez , (CRD# 1017572) , a stockbroker who is currently registered with IMS Securities discloses one pending and one prior customer dispute. The Financial Industry…
read moreUPDATED April 2018 FINRA records disclose that Matthew T. Griffith is no longer registered with Kestra Investment Services as of 4/2018. In addition FINRA records disclose that FINRA customer arbitration …
read moreMarch 2017- Westport, CT According to publicly available records Source Capital Group, (CRD# 36719) , a broker dealer with headquarters in Westport, CT, discloses 8 prior final regulatory events, one regulatory event that…
read moreMarch 2020-Dallas, Texas The FINRA records of Hilltop Securities, a stock brokerage firm headquartered in Dallas, Texas, disclose 52 prior regulator events that are final and 20 prior customer arbitrations. The Financial…
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