Walter S. Hall Investigation May 2022-Memphis, TN The FINRA records of Walter Scott Hall, an unregistered broker, last employed with Coastal Equities, discloses 2 terminations from employment. The Financial Industry Regulatory…
read moreRyan Gonzales Investigation May 2022-Westminster, CO The FINRA records of Ryan Gonzales, a broker who was previously with JP Morgan Securities discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA)…
read moreDerek Johnson Investigation May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P. Morgan broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreKenneth A. Luccioni Investigation May 2022-Park Ridge, IL The FINRA records of Kenneth A. Luccioni, a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…
read moreJohn LoPinto Investigation May 2022- New York, NY The FINRA records of John LoPinto, a currently unregistered broker who was last employed by Worden Capital Management, disclose 2 regulatory events and 3…
read moreWilliam Athas Investigation May 2022-Melville, New York The FINRA records of William N. Athas, a former stock broker who was last employed in the industry by SW Financial , disclose a regulatory…
read moreTodd Sivak Investigation May 2022- Oconomowoc, WI According to publicly available records, Todd W. Sivak, an LPL Financial broker discloses pending customer dispute filed during his employment with MML Investors…
read moreAntoine Souma Investigation May 2022-Beverly Hills, CA According to publicly available records Antoine Nabih Souma, a broker with Insigneo Advisory Services discloses a regulatory event, a prior customer dispute and a…
read moreChadwick Collins Investigation May 2022-Carlsbad, CA The FINRA records of Chadwick Collins, a Kestra Investment Services/Wedbush Securities broker discloses 3 pending customer disputes, 3 prior finalized customer disputes and a termination from employment.…
read more