April 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 moreAlexandria, Virginia Rex Securities Law is investigating broker David Alan Basinger on behalf of a elderly, retired widow from Alexandria who was advised to purchase limited partnerships, direct investments in oil & gas,…
read moreApril 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 2 pending…
read moreMarch 2017-New York According to publicly available records Ryan M. Murnane , (CRD# 4784140) , a former stockbroker who last worked for Alexander Capital and Woodstock Financial Group, discloses a pending customer dispute, 5…
read moreJuly 2017-New York According to publicly available records Tyre F. Newsome , (CRD# 4812894) , a stockbroker who is currently registered with Windsor Street Capital , disclose a prior customer dispute,…
read moreFebruary 2017-Mansfield, Texas According to publicly available records James C. Hayne , (CRD# 3257845) , a stockbroker who is not currently registered and who was last employed by Cetera Advisors, discloses…
read moreFebruary 2017-New York According to publicly available records William F. White , (CRD# 2168943) , a stockbroker who is employed by Primex, discloses a pending FINRA investigation and the settlement of a customer dispute.…
read moreOCTOBER 2017 UPDATE-Christian Webb is not currently registered as a broker. See this for more. November 2016-Austin, Texas According to publicly available records Christian L. Webb , (CRD# 1161075) , a stockbroker who is…
read moreFebruary 2017- Houston, Texas The Texas State Securities Board (TSSB) sanctioned Robert Yrshus (CRD# 858876) of Houston, Texas, suspending him for 60 days and assessing an administrative fine of $5,000. According to the…
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