January 2017-Dallas, Texas The FINRA records of Renee Rochelle Fields, a stockbroker currently employed by Sagepoint Financial disclose a separation from employment after allegations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreJanuary 2017-Columbia, South Carolina The FINRA records of Larry A. Stohs, a former stockbroker with Edward Jones disclose a termination from employment and two prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreUPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of Donald…
read moreArlington, Texas MAY 2017 UPDATE-In January 2017 a customer of Rhodes Securities filed FINRA Case #16-03753 alleging damages of $2 million for breach of fiduciary duty, negligence and breach of…
read moreOctober 2016-Moon Township, PA The FINRA records of Gregory R. Bauer, a former stockbroker who most recently was employed by H. Beck, Inc. disclose a final regulatory event and a termination from employment. The Financial Industry Regulatory…
read moreJANUARY 2020 UPDATE–Charles Lawrence barred from industry by FINRA for exploitation of elderly customer. See this for more information. September 2016-Palm Harbor, Florida The FINRA records of Charles J. Lawrence, a stockbroker who…
read moreAltoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…
read moreAugust 2016-Englewood, CO The FINRA records of Jeffrey E. Sigman, a stockbroker who currently is not currently registered disclose 1 prior final customer dispute and a recent employment separation after allegations. The Financial Industry…
read moreAugust 2016- Marlton, NJ The FINRA records of Bryan O. Eberle, a stock broker who is currently employed by Client One Securities disclose two terminations from employment. The Financial Industry Regulatory Authority (FINRA) is the agency…
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