October 2020- Montevideo, MN According to publicly available records Robert Nordaune (CRD#2313216), a former stockbroker who last worked for Thrivent Investment, Inc., discloses a regulatory event and a termination from…
read moreJune 2020- Waltham, MA The FINRA records of Gerald Allan Eaton , a former stock broker who was last employed by Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities…
read moreJune 2018- Plano, TX The FINRA records of Michael S. Christians , a stock broker who is not currently registered and who was last employed by Morgan Stanley , disclose a currently pending regulatory event,…
read moreSeptember 2019-Murrieta, CA According to publicly available records Matthew J. Werthe, a stockbroker who is not currently registered and who was last employed by Raymond James Financial Services , disclose…
read moreOctober 2017 – Jacksonville, FL According to publicly available records William H. Merriam IV, (CRD#5222110) , a former stockbroker who was last employed by Merrill Lynch , disclose a prior regulatory event and a termination…
read moreSeptember 2017 – Danbury, CT According to publicly available records William F. Garbarino (CRD#730278) , a former stockbroker who was most recently employed by Lincoln Financial Advisors , disclose a termination from employment and…
read moreSeptember 2017 According to publicly available records Jill M. Cody , (CRD# 4333419) , a former stockbroker who last worked for Concorde Investment Services , has numerous disclosures: 1 prior regulatory events 8…
read moreFebruary 2017-Oshkosh, Wisconsin According to US News, the sheriff of Winnebago County reports that former Thrivent Investment Management stock broker Jean A. Walsh-Josephson and her husband, Dewey Josephson, were found…
read moreNovember 2016-Albuquerque, NM The FINRA records of Kevin Hudak, a former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms…
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