James Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
read moreStifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…
read moreKenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott, discloses a final regulatory matter resulting in…
read moreMarianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors, discloses a final regulatory matter resulting in a…
read moreLeonid Yurovsky Investigation April 2023– New York, NY According to publicly available records, Leonid Yurovsky, a broker for Joseph Stone Capital, discloses a final regulatory matter resulting in a 5 month…
read moreDarryl Cohen-Misappropriation From NBA Player Accounts April 2023-Westlake Village, C A The FINRA records of Darryl Cohen, a former stock broker who was last employed in the industry by Morgan Stanley…
read moreSuzanne Charrin Investigation April 2023-Greenwood, CO According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services, discloses a final regulatory matter resulting in a…
read moreKimberly Nuessmann Investigation April 2023 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc. discloses a regulatory event on her FINRA record. The…
read moreChristine Warner Investigation April 2023-Mount Pleasant, TX According to publicly available records Christine Anne Warner, a Monticello Financial Group broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…
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