Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of Sanders L. Spangler , a former stockbroker who was once employed by LPL Financial disclose a regulatory matter, 6 prior customer disputes…
read moreMaxim Beliakov Investigation November 2021-Red Bank, NJ According to publicly available records. Maxim Beliakov , a stockbroker formerly employed by Garden State Securities and Woodstock Financial Group discloses a regulatory suspension. The…
read moreGreg Williams Investigation November 2021-Greenwood, CO According to publicly available records, Gregory Jon Williams, a former broker who was last employed by Fort Finanical Group, discloses 6 pending and 3 prior…
read moreBryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records, Bryant E. Caveness, a former broker who was last employed by Ameriprise Financial Services, discloses a recent regulatory matter, 3…
read moreDavid M. Murray Investigation November 2021- Holmdel, NJ According to publicly available records David Murray (CRD#1870050), a stockbroker currently employed with Monmouth Capital Management LLC, discloses 3 pending and 3 prior…
read moreEddy Torriente-Comerica Securities Broker- Subject of $50M Unauthorized Trading Suit- Scottsdale, AZ
William Torriente Investigation July 2022- Mt. Dora, Florida According to publicly available records, William “Eddy” Torriente, Jr. , a financial advisor previously employed by Comerica Securities, discloses a final regulatory matter,…
read moreGregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records, Gregory C. Collier, Sr. , a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…
read moreDouglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered and who was last…
read moreSeptember 2021- New York The FINRA records of Anthony Sica , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit, 3 regulatory sanctions and 3 prior…
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