Janie Garza-Clark Investigation March 2023-Scottsdale, AZ According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management, discloses a final regulatory matter resulting in…
read moreRobert Kristal Investigation March 2023-New York, New York The FINRA records of Robert Eugene Kristal, a broker previously employed by H.C. Wainwright & Co. , disclose a regulatory matter resulting in a…
read moreDean Nowak Investigation March 2023- Winter Park, FL According to publicly available records Dean Nowak, a broker previously employed by Newbridge Securities Corporation, discloses 5 pending customer disputes. The Financial Industry…
read moreMonica Laguna Investigation March 2023-Coppell, TX According to publicly available records, Monica A. Laguna a former broker who last worked for JP Morgan, discloses a final regulatory matter resulting in a…
read moreJustin Anderson Investigation March 2023- Austin, TX According to publicly available records Justin A. Anderson, a former broker who last worked for CUSO Financial Services, discloses a final regulatory matter resulting…
read moreEllen Reynard Investigation March 2022-Beaumont, TX The FINRA records of Ellen Gayle Reynard, a broker previously employed by Raymond James Financial Services , disclose a regulatory matter and a termination from employment.…
read moreJohn Michael Palombo Investigation March 2022-Austin, TX The FINRA records of John Michael Palombo , a former broker previously employed by Robert W. Baird & Co. , disclose a final regulatory matter .…
read moreJeff Graves Investigation March 2023- Addison, TX According to publicly available records Jeffrey Scott Graves, a broker currently employed by Cetera Advisors Networks Inc., discloses a regulatory event. The Financial Industry Regulatory…
read moreBrian Test Investigation March 2022-Frisco, TX The FINRA records of Brian Test , a broker currently employed by Avantax Investment Services, Inc. , disclose a regulatory matter, a final customer dispute, and a…
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