September 2019 – Port Chester, NY The FINRA records of Jamie R. Rodriguez, a former stockbroker who was last employed by Cuso Financial Services disclose he has been barred from the securities industry…
read moreJanuary 2020 -Melville, New York According to publicly available records Apostolos Nicolas Pitsironis (also known as Paul Pitsironis) , discloses that he was recently barred from the securities industry for…
read moreMay 2019 – Angleton, Texas According to publicly available records, former Cambridge Investment Research financial advisor Anselmo Contreras, Jr. discloses a recent regulatory event resulting in his bar from the…
read moreFebruary 2019-Fredericksburg, TX A federal judge in San Antonio has sentenced 52-year-old Stacey A. Sanders of Fredericksburg, TX, to 27 months imprisonment. The former office manager of Memorial Presbyterian Church,…
read moreFebruary 2019-Middleton, MA According to publicly available records Bruce C. Worthington (CRD# 2193895) , a stockbroker previously employed by Founders Financial Securities, discloses a pending regulatory event, a prior regulatory event, a pending…
read moreJanuary 2019- Ft. Lauderdale, FL According to publicly available records Roger Kroeger, (CRD# 1526864) , a previously registered stockbroker who was last employed by Invest Financial Corporation, disclose a regulatory event,…
read moreOctober 2019- Cut Off, LA According to publicly available records Kristian “Kris” M. Gaudet , a former stockbroker who was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…
read moreNovember 2018 We are investigating options for recovery of damages for investors who may have suffered losses on the following : Global Credit Recovery Delmarva Capital DeVille Asset Management Rhino…
read moreOctober 2018- The SEC has charged Houston based Behavioral Recognition Systems (now known as Giant Gray) and its CEO Ray C. Davis with soliciting over $28 million from investors and…
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