Houston, Texas AUGUST 2017 UPDATE-FINRA case 15-2841,-The Board of County Commissioners of the County of Bernalillo New Mexico, sought damages of $17 million From Royce Simpson, Oppenheimer & Co. BOSC, Inc.…
read moreBoca Raton, Florida According to FINRA records, Matthew J. Ronan , a stock broker who works for ViewTrade Securities discloses a customer dispute that has been finalized and a pending regulatory investigation. The Financial…
read moreBoca Raton, Florida According to FINRA records, Alan R. Pacella , a stock broker who works for ViewTrade Securities discloses a regulatory matter that has been finalized , a customer dispute that has been finalized…
read moreMay 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla , a stock broker who has…
read moreOdessa, Texas According to FINRA records, Noe Garcia, Sr. , a former investment company products and variable contracts representative for State Farm VP Management from 5/2007-11/2015 discloses that he was sanctioned by FINRA for failing to amend…
read moreLittle Rock, Arkansas According to FINRA records, Danny M. Thomas , a broker who worked for State Farm VP Management from 8/2003-9/2015 discloses that he was permanently barred from the securities industry in May 2016. The…
read moreHurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities (4/2008-1/2016) in Hurst, Texas, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…
read moreNovember 2019-New York According to FINRA records, Kevin Richard Graetz , a former stock broker who was last registered with Paulson Investment Company discloses that he was barred from the securities…
read moreApril 2016- Orangeburg, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…
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