Kevin Klickna Investigation June 2023-Rochester, IL According to publicly available records Kevin Klickna a currently unregistered broker most recently employed with Equitable Advisors discloses a final regulatory matter and a termination…
read moreShawn Good Investigation June 2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for Morgan Stanley discloses a final regulatory matter resulting in a permanent…
read moreAdrian R. London Investigation June 2023-Atlanta GA According to publicly available records Adrian R. London a former broker who last worked for J.P. Morgan Securities, discloses a final regulatory matter resulting…
read moreRobert “Bob” Thomas Investigation May 2023-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered broker who formerly worked for Avantax Investment Services, discloses a 2 customer…
read moreSean Storm Boswick Investigation June 2023-New York, NY The FINRA records of Sean “Storm” Boswick, a former stock broker who was last employed in the industry by Brock Securities , disclose…
read moreClinton Byrd Investigation June 2023-Tallahassee, FL According to publicly available records Clinton Byrd, a broker previous employed by Cantella & Co., discloses a regulatory suspension, settlement of a customer dispute and…
read moreVincent “Vinny” Grucci Investigation June 2023-Ocean Ridge, FL The FINRA records of Vinny Grucci, a former stock broker who was last employed by Fortune Financial Services, Inc. disclose a pending FINRA…
read moreAlexandra Smith Investigation June 2023-St. Petersburg, FL The FINRA records of Alexandra Smith , a former stock broker who was last employed in the industry by J.P. Morgan Securities , disclose 2…
read moreJames Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
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