Paul W. Murphy Investigation May 2022-Ocala, FL The FINRA records of Paul W. Murphy , a stock broker who is currently employed by Calton & Assoc. & Swan Financial Services, disclose 2 pending…
read moreNovember 2020- Tampa, FL According to publicly available records Stuart Henley (CRD#1368973), a former stockbroker who last worked for Harmony Asset Management, discloses a regulatory event, a final customer dispute…
read moreSeptember 2019 Capital Financial Services (CFS) , a brokerage firm with headquarters in Minot, North Dakota, recently notified its customers that it is closing down its business on or about…
read moreFebruary 2018-Saint Charles, MO The FINRA records of Robert (Bob) Wamhoff, a stockbroker who was formerly employed by VSR Financial Services disclose 2 currently pending and 8 prior customer disputes that are final. The Financial…
read moreDecember 2017–Austin, Texas We are investigating former VSR Financial Services broker Lisa A. Allen (Lisa Ann Fowler) in connection with the sale of various direct investments including real estate securities and limited partnership interests. According…
read moreNovember 2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…
read moreFebruary 2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…
read moreJanuary 2017- Oxford, MS According to publicly available records Ty Kevin Bauer , (CRD# 2150885) , a stockbroker who is currently employed by Alexander Capital, disclose 2 prior customer disputes. The Financial Industry Regulatory…
read moreOctober 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…
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