John Matson Investigation April 2023- Manhattan Beach, CA According to publicly available records, John Nicholas Matson a former broker who last worked for LPL Financial, discloses a final regulatory matter resulting in…
read moreStacy Mari Goldsmith Investigation April 2023– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes. The…
read moreChristopher Passero Investigation March 2023-Hurricane, WV According to publicly available records Christopher John Passero, a Money Concepts Capital Corp. broker discloses a regulatory event, prior customer dispute and a pending…
read moreRobert Turner Investigation March 2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr. , (CRD# 2113736 ), a stockbroker who formerly worked with UBS Financial Services, Inc. discloses 7…
read moreSecurities Enforcement Actions Securities Division- North Carolina Secretary of State Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…
read moreThomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray , a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreTravis Eiland/ Avantax Wealth Management Investigation August 2022-Baytown, TX According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest), discloses a…
read moreMichael J. Giannetti Investigation May 2022-McKinney , TX According to publicly available records Michael J. Giannetti, a former broker who last worked for MML Investors Services, discloses a final regulatory matter resulting…
read moreGlenn E. Brandon Investigation May 2022- Birmingham, AL The FINRA records of Glenn Edward Brandon, a former broker who was last employed by BB&T Securities disclose a final regulatory matter resulting…
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