February 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) , a stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…
read moreUPDATE Jan 2017– LPL Financial ordered to pay up to $3.7 million in restitution and fines as a result of an investigation into sales of unsuitable variable annuities by former…
read moreDecember 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) , a stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…
read moreOCTOBER 2017 UPDATE-Christian Webb is not currently registered as a broker. See this for more. November 2016-Austin, Texas According to publicly available records Christian L. Webb , (CRD# 1161075) , a stockbroker who is…
read moreNorth Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…
read moreJuly 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) , a stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…
read moreNovember 2016-Highland Park, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…
read moreJanuary 2017- Longview, Texas According to publicly available records Ronald D. Henson , (CRD# 1748328) , a stockbroker who is currently employed by LaSalle St. Securities, disclose a separation from employment after allegations. The…
read moreJanuary 2017-Lincoln, NE According to publicly available records John S. Bixby, a stockbroker currently employed by Drexel Hamilton, discloses a separation from employment after allegations and two finalized customer disputes. The Financial…
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