July 2021- Hackensack , NJ According to publicly available records, Scott Fergang, a financial advisor who previously was employed by RBC Capital and who now works for Stifel, Nicolaus , discloses…
read moreCoral Gables, Florida According to FINRA records, James P. Scullin , a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…
read moreJuly 2021- Conroe, TX We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…
read moreJuly 2021- Dallas, TX According to publicly available records, Constantinos G. Maniatis, a financial advisor previously with Morgan Stanley, discloses a regulatory event and a termination from employment. The Financial…
read moreJuly 2021- Ft. Lauderdale, FL According to publicly available records Michael Dellaporta, Jr. (CRD#500214), a former stockbroker who last worked for B.B. Graham & Company, Inc., has been permanently barred…
read moreJuly 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for David Lerner Associates, discloses a regulatory resulting in a suspension and fine…
read moreJuly 2021- Austin, TX According to publicly available records, former Sagepoint Financial financial advisor Daniel Dillard, discloses a regulatory event, 2 pending customer disputes, a termination from employment and an outstanding…
read moreAugust 2021- Boston, MA According to publicly available records, former Merrill Lynch, Pierce, Fenner & Smith financial advisor Charles Kenahan, discloses 2 regulatory events, 4 final customer disputes, one pending…
read moreApril 2021-Great Neck, NY According to publicly available records, former JP Morgan Securities, financial advisor Forouzan Pooladi, has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…
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