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Finra Investigation of Stockbroker

John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL

John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL 150 150 ER

John Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services ,  discloses a final regulatory matter resulting in…

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Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $794,000 in Settlements -New York, NY

Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $794,000 in Settlements -New York, NY 150 150 ER

Brian Wurdermann Investigation June  2023-New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets,  discloses a regulatory matter resulting in a…

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Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ

Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ 150 150 ER

Ronald Diaz Investigation June 2023-Tuscon, AZ The FINRA records of Ronald Diaz ,  a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in…

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Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL

Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL 150 150 ER

Roman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans,  a broker employed by Raymond James & Associates, Inc. disclose a regulatory matter and a customer dispute. The…

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Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY

Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY 150 150 ER

Derek Rehill Investigation June 2023-Garden City, NY According to publicly available records Derek John Rehill, a VCS Venture Securities broker discloses a final regulatory matter.  The Financial Industry Regulatory Authority (FINRA) is…

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Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL

Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL 150 150 ER

Maria Acevez Perez Investigation June  2023-Miami, FL According to publicly available records Maria Acevez Perez a broker employed by  VectorGlobal WMG,  discloses a regulatory matter resulting in a six month suspension…

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Kevin Hobbs – Former Primerica Financial Services Broker- Barred From Securities Industry by Regulators -Lake Worth, FL

Kevin Hobbs – Former Primerica Financial Services Broker- Barred From Securities Industry by Regulators -Lake Worth, FL 150 150 ER

Kevin Hobbs Investigation June 2023-Lake Worth, FL According to publicly available records Kevin Hobbs a former broker who last worked for Primerica Financial Services (PFS Investments),  discloses a final regulatory matter…

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Mirso Muharemovic-Former Arive Capital Markets Broker-Discloses Regulatory Suspension and Three Prior Customer Disputes – Coram, NY

Mirso Muharemovic-Former Arive Capital Markets Broker-Discloses Regulatory Suspension and Three Prior Customer Disputes – Coram, NY 150 150 ER

Mirso Muharemovic Investigation June 2023-Coram, NY According to publicly available records Mirso Muharemovic, a former Arive Capital Markets broker discloses a final regulatory matter and three prior customer disputes.  The Financial Industry…

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Mike DeLuca-Fortune Financial Services Broker-Discloses Regulatory Suspension- New Brighton, PA

Mike DeLuca-Fortune Financial Services Broker-Discloses Regulatory Suspension- New Brighton, PA 150 150 ER

Mike DeLuca Investigation June 2023-New Brighton, PA According to publicly available records Michael DeLuca, a Fortune Financial Services, Inc. broker discloses a final regulatory matter.  The Financial Industry Regulatory Authority (FINRA) is…

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