October 2020- Oconomowoc, WI According to publicly available records, former Mutual of Omaha Investor Services, Inc., financial advisor Edward Earl Matthes , discloses 5 regulatory events, a civil event, 15 prior…
read moreApril 2020-Dallas, TX The FINRA records of Clayton H. Wertz, a broker last employed in the securities industry by First Canterbury Securities, Inc., disclose a regulatory event resulting in his bar…
read moreJanuary 2020-Red Bank, NJ According to publicly available records of Philip Joseph Sparacino (CRD#3243960) , a former stockbroker who last worked for First Standard Financial, discloses 2 regulatory events, a pending…
read moreNovember 2019- Ft. Lauderdale, FL According to a recent press release from the United States Attorney’s Office for the Southern District of Florida, Michael Jerome Atkins, 60, was arraigned on…
read moreNovember 2019- New York, NY The FINRA records of Herbert “Elias” Hafen , a financial advisor previously employed by Morgan Stanley, disclose a prior regulatory event, a pending criminal matter, a…
read moreOctober 2019 – Austin, Texas Texas Securities Commissioner, Travis Iles, revoked the registration of Gus Marwieh for fraud related to the sale of pension investments, according to a news release…
read moreSeptember 2019- Williamsville, NY According to publicly available records Michael Giokas (CRD# 1398674) , a former stockbroker who was last employed by Fortune Financial Services, Inc., disclose 2 prior regulatory events, a…
read moreSeptember 2019- Chatham, NJ According to publicly available records Michael Bressman , a currently unregistered stockbroker, who was last registered with FCG Advisors, discloses a pending investigation, a pending civil event,…
read moreJanuary 2020 -Melville, New York According to publicly available records Apostolos Nicolas Pitsironis (also known as Paul Pitsironis) , discloses that he was recently barred from the securities industry for…
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