Marianne 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…
read moreCaz Craffy Investigation June 2023-Morristown, NJ According to publicly available records Caz Craffy, a former broker who last worked for Monmouth Capital Management, discloses a final regulatory matter resulting in a…
read moreDaniel Pita Investigation April 2023-Sunrise, FL According to publicly available records Daniel Pita , a former broker who last worked for NYLife Securities, discloses a final regulatory matter resulting in a…
read moreDonald Kowalsky Investigation April 2023- Atlanta, GA The FINRA records of Donald Kowalsky , a Cambridge Investment Research, Inc. broker discloses 3 prior customer disputes and a pending customer dispute. The…
read more