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Stockbroker Discharged

Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY

Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY 150 150 ER

Kenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott,  discloses a final regulatory matter resulting in…

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Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT

Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT 150 150 ER

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter resulting in a…

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Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO

Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO 150 150 ER

Suzanne Charrin Investigation April 2023-Greenwood, CO  According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services,  discloses a final regulatory matter resulting in a…

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John Matson- Former LPL Financial Advisor-Barred From Securities Industry by Securities Regulator -Manhattan Beach, CA

John Matson- Former LPL Financial Advisor-Barred From Securities Industry by Securities Regulator -Manhattan Beach, CA 150 150 ER

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…

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David Shane Simmons-Former Lincoln Financial Securities Broker-Barred From Securities Industry by Regulators – Jefferson, NC

David Shane Simmons-Former Lincoln Financial Securities Broker-Barred From Securities Industry by Regulators – Jefferson, NC 150 150 ER

David Shane Simmons Investigation April 2023-Jefferson, NC According to publicly available records David Shane Simmons, a former broker who last worked for Lincoln Financial Securities Corporation ,  discloses a final regulatory…

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Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY

Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY 150 150 ER

Nickolay Kukukov Investigation April 2023-New York NY According to publicly available records Nickolay Kukukov , a former broker who last worked for Paulson Investment Company,  discloses a final regulatory matter a…

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Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ

Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ 150 150 ER

Janie Garza-Clark Investigation March 2023-Scottsdale, AZ  According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management,  discloses a final regulatory matter resulting in…

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Eugene “Bron” Thompson- Capital Investment Broker- Discloses Customer Dispute Involving GWG Holdings- Wallace, NC

Eugene “Bron” Thompson- Capital Investment Broker- Discloses Customer Dispute Involving GWG Holdings- Wallace, NC 150 150 ER

Eugene Cebron “Bron” Thompson Investigation March 2023– Wallace, NC According to publicly available records,  Eugene “Bron” Thompson,  a broker with Capital Investment Group,  discloses a customer dispute related to GWG…

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