John 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 moreLyle Davis Investigation May 2022 – Salt Lake City, UT According to publicly attained records, Lyle W. Davis, a stockbroker who is not currently registered and who was last employed…
read moreJorge A. Sonville Investigation April 2022- Miami, FL The FINRA records of Jorge Sonville, a broker with Insigneo Securities who formerly worked for Merrill Lynch, disclose a pending customer dispute and…
read moreAriel Rivero Investigation February 2022-Miami, Florida, USA /Buenos Aires, Argentina We are investigating former Jefferies LLC financial advisor Ariel A. Rivero on behalf of a client residing in Buenos Aires…
read moreJohn Rochester Investigation November 2021- Santa Fe, NM According to publicly available records, John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…
read moreBrad Brooks Investigation November 2021- Addison, Texas The FINRA records of Brad C. Brooks , a broker who is employed by Titan Securities disclose a currently pending regulatory investigation, 6 prior final customer…
read moreDerrick Trussell Investigation November 2021-San Antonio, TX According to publicly available records Derrick R Trussell, a former stockbroker who last worked for PFS Investments Inc. discloses a regulatory event, a criminal charge,…
read moreTimothy J. Prouty Investigation November 2021- Albuquerque, NM According to publicly available records, Timothy J. Prouty, a broker previously employed with Morgan Stanley discloses a large arbitration award to a former customer…
read moreDouglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered and who was last…
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