April 2017-Christiansburg, VA The FINRA records of Sara R. Bohn , a stockbroker who is currently employed by First Citizens Investor Services disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…
read moreApril 2017-San Antonio, TX According to publicly available records Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial discloses 2 prior customer…
read moreApril 2017-West Palm Beach, FL The FINRA records of William Bruckner , a stockbroker who is currently registered with Woodstock Financial Group disclose a regulatory event and a recent termination from employment. The Financial…
read moreSeptember 2019-Port Washington, NY-Tampa, FL The FINRA records of David S. Silberg , a broker who previously worked for Aegis Capital Corp. disclose a prior regulatory event, 3 prior final customer disputes and…
read moreApril 2017- The FINRA records of Walter J. Marino , a former Legend Equities stockbroker who is currently not registered disclose a pending regulatory matter, 3 pending customer disputes, 9 prior final customer disputes, and 3…
read moreMAY 2018 UPDATE–See this for update. ORIGINAL POST-April 2017-Whitesboro, Texas The FINRA records of Clyde D. Jones , a stockbroker who is currently registered with Titan Securities disclose 2 pending customer disputes, 2…
read moreApril 2017- Miami, FL The FINRA records of Charles M. McInnis (CRD # 1321666) , a stockbroker who was previously employed by Cambridge Investment Research, Inc. disclose 3 final regulatory events, 3 customer disputes that are…
read moreApril 2017- San Antonio, Texas The FINRA records of German Ricardo Mora , a former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…
read moreApril 2017-Burlington, MA Berthel Fisher & Company and one of their brokers Jeffrey P. Dragon were named in a FINRA complaint alleging that Dragon generated more than $421,000 in concessions…
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