Pamela Espinosa Investigation March 2023- Albuquerque, NM According to publicly available records, Pamela Sue Espinosa a Kestra Investment Services broker discloses a $1M pending customer dispute. The Financial Industry Regulatory…
read moreKaren S. Cunningham Investigation March 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham, a broker with Kestra Investment Services, discloses a pending customer suit. The Financial…
read moreJoseph Beam Investigation March 2023- Raleigh, NC According to publicly available records Joseph Beam, a broker employed by Capital Investment Group, Inc., discloses three customer disputes. The Financial Industry Regulatory…
read moreJohn Zaffarano Investigation March 2023- Boca Raton, FL According to publicly available records, John Zaffarano an Newbridge Securities Corporation broker discloses a currently pending customer dispute. The Financial Industry Regulatory…
read moreCrystal Turk Investigation February 2023 – Dallas, TX According to publicly attained records, Crystal Turk, a stockbroker who was last employed by JP Morgan Securities , discloses a 2 month regulatory…
read moreKaren Cunningham Investigation February 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham, a broker employed by Kestra Advisory Services, discloses a pending customer dispute. The Financial…
read moreCliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs, a broker employed by Securities Management and Research, Inc., discloses a customer dispute. The Financial…
read moreJon Ellefson Investigation February 2023- Harker Heights, TX According to publicly available records Jon Ellefson a broker employed by Intervest International Equities Securities, discloses three settled customer disputes and two…
read moreJennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX
Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell a broker employed by Ameriprise Financial Services, discloses a final customer dispute. The Financial…
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