April 2020- El Paso, TX The FINRA records of Miguel Angel Rabio, a broker previously employed by State Farm VP Management Corp. , disclose a regulatory event resulting in his bar from the…
read moreApril 2020-Houston, TX According to publicly available records. Sofia T. Gonzalez (CRD#6243469), a former stockbroker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated discloses 2 regulatory events, …
read moreJune 2020-Staten Island, NY According to publicly available records of Leonard “Lenny” Kinsman (CRD#2816535) , a former broker who was last registered with Wells Fargo Advisors Financial Network, discloses 5 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 moreApril 2020- McAllen, TX The FINRA records of Ma Rosa Linan Abrego, a broker previously employed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated disclose a regulatory event resulting in a…
read moreApril 2020-El Paso, TX According to publicly available records of Robert Renteria (CRD#5773053) , a broker formerly employed with PFS Investments, Inc., discloses a regulatory event, a settled customer dispute and…
read moreOctober 2020-Birmingham, AL According to publicly available records of Joseph Monroe Lawrence, III (CRD#5605961) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses a regulatory event and…
read moreMarch 2020- Florham Park, NJ According to publicly available records. James D. D’Meo, (CRD#1444759), a former stockbroker who last worked for Kenneth, Jerome & Co., Inc., discloses 2 regulatory events,…
read moreOctober 2020- Hillside, IL The FINRA records of Jeffrey Scott Nimmow , a broker previously employed by Forest Securities, Inc. , disclose a regulatory event resulting in his bar from the securities industry, two pending customer…
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