July 2017-Malaysia The FINRA records of Richard William Lunn Martin , a former stockbroker who was last employed by G.F. Investment Services, disclose a prior regulatory matter, 15 customer disputes, a current…
read moreMay 2017 – Chicago, IL According to publicly available records Louis Scherschel (CRD#5634741) , a stockbroker currently registered with St. Bernard Financial Services, Inc., discloses settlement of a customer dispute and a discharge from …
read moreJune 2017- Austin, TX According to publicly available records John J. Gorman IV (CRD#1070636) , a stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events, 2…
read moreAlpharetta, Georgia AUGUST 2017 UPDATE-The Securities and Exchange Commission (SEC) charged Christopher S. Laws and three other Atlanta area brokers with fraudulently inducing federal employees to roll over holdings in…
read moreJune 2017- New York According to publicly available records Scott David Offerman (CRD#4619093) , a stockbroker who currently is employed by Sandlapper Securities , discloses a termination from employment and 9 outstanding judgment/liens. The…
read moreMay 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below) from…
read moreJune 2020- New York According to publicly available records Baris Dincer (CRD#5637472) , a stockbroker who currently is not currently registered and who was previously employed by Planner Securities, J.H. Darbie &…
read moreJune 2017- New York According to publicly available records Joao-Miguel Calil (CRD#4351530) , a stockbroker who is not currently employed, discloses a termination from employment with Merrill Lynch. The Financial Industry Regulatory Authority…
read moreJune 2017- Montgomery , Texas According to publicly available records Brian Alan Hagen (CRD#5189815) , a stockbroker who currently is employed by D.H. Hill Securities, discloses a termination from employment. The Financial Industry…
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