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Failure to Supervise

Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK

Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 150 150 ER

Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously employed with  Securities America , disclose settlement of customer disputes. The…

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Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC 150 150 Rex Securities Law

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a  regulatory event, 9 prior customer disputes and…

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Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC

Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC 150 150 ER

Ricky Alan Mantei Investigation Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Ricky Alan Mantei, currently employed by…

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G. Russell Conrad-Coastal Equities Broker-Discloses Two Prior Customer Disputes- Lewiston, NY

G. Russell Conrad-Coastal Equities Broker-Discloses Two Prior Customer Disputes- Lewiston, NY 150 150 ER

G. Russell Conrad Investigation July 2023-Lewiston, New York The FINRA records of G. Russell Conrad ,  a Coastal Equities, Inc.  broker, disclose a 2 prior customer disputes involving alternative investments and tenant in…

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Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA

Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA 150 150 ER

Mark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with  LPL Financial discloses four prior customer disputes and one pending customer dispute. …

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Jonathon Ebel – Network 1 Financial Securities Broker-Discloses Multiple Customer Disputes – Hauppauge, NY

Jonathon Ebel – Network 1 Financial Securities Broker-Discloses Multiple Customer Disputes – Hauppauge, NY 150 150 ER

Jonathon Ebel  Investigation June 2023-Hauppauge, NY According to publicly available record Jonathon Ebel, a Network 1 Financial Securities broker discloses three prior customer disputes and two pending customer disputes.  The Financial Industry…

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Michael Lynn Melton-Edward Jones Broker-Discloses Customer Dispute Over Transfer of Estate Assets- Troy, IL

Michael Lynn Melton-Edward Jones Broker-Discloses Customer Dispute Over Transfer of Estate Assets- Troy, IL 150 150 ER

Michael Melton Investigation June 2023-Troy, IL According to publicly available records Michael Lynn Melton an Edward Jones broker, discloses  a pending customer dispute.  The Financial Industry Regulatory Authority (FINRA) is the agency…

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