YES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…
read moreBill Woods aka William Forrest Winchester Investigation June 2022- Chattanooga, TN According to publicly available records Bill Woods (aka…
read moreLance R. Armstrong Investigation December 2021 – Lafayette, NJ The FINRA records of Lance Roman Armstrong , a former stockbroker who was last employed by Raymond James Financial Services, Inc. , disclose regulatory events…
read moreDale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger, a broker who last worked for DMK Advisor Group and prior to that Securities America, …
read moreApril 2020-El Paso, TX According to publicly available records of Robert Renteria (CRD#5773053) , a broker formerly employed with PFS Investments, Inc., discloses a regulatory event, a settled customer dispute and…
read moreMay 2019 – Angleton, Texas According to publicly available records, former Cambridge Investment Research financial advisor Anselmo Contreras, Jr. discloses a recent regulatory event resulting in his bar from the…
read moreApril 2019 – Kingwood, TX According to publicly available records Phillip Andrew Johnson (CRD# 501352) , a former stockbroker who was last employed by D.H. Hills Securities, disclose 4 regulatory events, 2…
read moreOctober 2018-Frisco, Texas According to publicly available records J. Gordon Cloutier, Jr. , a former stockbroker who was last registered with Wells Fargo Advisors disclose two regulatory events, a prior customer dispute and…
read moreMarch 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute, and a…
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