January 2019-El Paso, Texas According to publicly available records Travis Jerome Hughes , a stockbroker who is currently registered with Cetera Advisors disclose a currently pending customer dispute, 11 prior customer disputes and…
read moreDecember 2018-Pacific Grove, CA According to publicly available records Jon R. Pariser , a former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services, disclose…
read moreFebruary 2019- St. Louis, MO The FINRA records of Sean Aaron Brady , a former stock broker who is not currently registered and who was last employed by First Allied Securities , disclose that he was recently…
read moreOctober 2018- Pendleton, Indiana According to publicly available records Tamara R. Steele (CRD#3227494) , a stockbroker who was last registered with Comprehensive Asset Management and Servicing (CAMAS) a/k/a Aurora Private Wealth or…
read moreSeptember 2018 – Ft. Worth, Texas According to publicly available records William E. Riley, Jr. , a currently unregistered stockbroker, who was last registered with Silver Oak Securities , disclose a pending customer…
read moreOctober 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker, disclose a pending customer dispute, 2 prior…
read moreJanuary 2019- Temple, Texas The FINRA records of Larry Joe Templin , a stock broker who was most recently employed by Centaurus Financial , disclose that he was recently discharged from employment and permanently barred from the…
read moreJuly 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…
read moreJuly 2018- Fort Wayne, Indiana The FINRA records of Joel Vincent Flaningan , a former stock broker who is not currently registered and who was last employed by NYLife Securities , disclose a pending customer dispute involving…
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