Brett Rutherford Investigation March, 2023 – Raleigh, NC The FINRA records of Brett Rutherford, a Capital Investment Group, Inc. broker, disclose a pending customer dispute involving GWG Holdings Inc.. The Financial Industry…
read moreJohn Moy Investigation March 2023-Boca Raton, FL The FINRA records of John Kirkland Moy, an Newbridge Securities Corporation broker, discloses 3 final customer disputes, a pending customer dispute and two terminations from employment.…
read moreJohn Zaffarano Investigation March 2023- Boca Raton, FL According to publicly available records, John Zaffarano an Newbridge Securities Corporation broker discloses a currently pending customer dispute. The Financial Industry Regulatory…
read moreCorrie Mitchell Investigation February 2023 – San Antonio, TX According to publicly attained records, Corrie Mitchell, a stockbroker who was last employed by Cambridge Investment Research, Inc, discloses that she was…
read moreKaren Cunningham Investigation February 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham, a broker employed by Kestra Advisory Services, discloses a pending customer dispute. The Financial…
read moreCliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs, a broker employed by Securities Management and Research, Inc., discloses a customer dispute. The Financial…
read moreWilliam Huthnance Investigation February 2023-Houston, TX The FINRA records of William Huthnance, a UBS Financial Services broker, discloses 2 past customer disputes and 2 customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreJon Ellefson Investigation February 2023- Harker Heights, TX According to publicly available records Jon Ellefson a broker employed by Intervest International Equities Securities, discloses three settled customer disputes and two…
read moreJennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX
Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell a broker employed by Ameriprise Financial Services, discloses a final customer dispute. The Financial…
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