White Plains, New York According to FINRA records, John M. Gregory , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment . The Financial Industry Regulatory Authority (FINRA) is…
read morePlano, Texas According to FINRA records, Charles L. Evans , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment and one final regulatory event. The Financial Industry Regulatory…
read moreUPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records, Wesley “Clint” Smith , a stockbroker who formerly worked for Edward Jones discloses a pending customer dispute, 7 prior customer disputes and one final…
read moreGreenwood, CO According to FINRA records, Michael M. Hurtgen , a stock broker currently employed by Girard Securities , discloses a termination from prior employment. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…
read moreBrent Van Lott Investigation October 2022- Orem, Utah According to FINRA records, Brent Van Lott , a stock broker who is not currently and who was last employed by MHL Investments , discloses a regulatory event,…
read morePort Chester, New York According to FINRA records, Douglas C. Robb, Jr. , a stockbroker who was recently employed by Cuso Financial Services , discloses a termination. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…
read moreCharlotte, North Carolina According to FINRA records, Michael P. Lessard, Jr., a stockbroker who currently works for Southeast Investments, discloses a regulatory investigation and a discharge from a prior firm. The Financial Industry Regulatory Authority…
read moreStaten Island, New York According to FINRA records, Frank D. Marinelli, a stockbroker who currently works for Southeast Investments, discloses two pending customer disputes, a termination, two pending judgment/liens and two final customer…
read moreMAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017. FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000. ORIGINAL POST JUNE…
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