September 2022 Sanctions by Certified Financial Planners Board According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in…
read moreDaniel Lerner Energy 11, Energy Resources 12, Spirit of America Energy Fund Investigation September 2022-Lawrenceville, NJ The FINRA records of Daniel Lerner, son of David Lerner and a broker with…
read moreDusty Lynn Sternadel Investigation September 2022-Wichita Falls, TX According to publicly available records Dusty Lynn Sternadel,a former broker who last worked for Ameriprise Financial Services, discloses a final regulatory matter resulting…
read moreDoug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX
Doug McKelvey Investigation September 2022-Southlake, TX According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley , discloses a recent regulatory matter, a prior…
read moreJorge Sonville Investigation September 2022-Miami, FL According to publicly available records Jorge A. Sonville, a currently unregistered broker who most recently worked with Insigneo Services and before that, Merrill Lynch, discloses a…
read moreAnthony Pitta Investigation September 2022- Melville, NY According to publicly available records, Anthony J. Pitta, a financial advisor currently employed by Capital Investment Group, discloses a currently pending customer dispute. The Financial…
read moreJohn Hebner Investigation September 2022- Hayden, Idaho According to publicly available records, John R. Hebner, a financial advisor currently employed by Moloney Securities, discloses a currently pending customer dispute. The Financial Industry…
read moreWilliam Moening Investigation September 2022-Austin, TX The FINRA records of William R. Moening, a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreWalter Reyna Investigation September 2022- McAllen, Texas According to FINRA records, Walter J. Reyna , a former Lincoln Financial Securities broker discloses two recently filed arbitrations by customers seeking damages for losses on…
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