Ronald Metcalf, Jr. Investigation September 2021-Greenville, S. Carolina According to publicly available records Ronald F. Metcalf, Jr. , a stockbroker who was previously registered with Voya Financial Advisors, who operates Metcalf &…
read moreJuly 2021- Boca Raton, FL We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses a prior regulatory matter, 2 pending customer disputes and…
read moreJuly 2021-San Jose, CA According to publicly available records. Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc., discloses 1 pending and 4 prior customer disputes. The Financial…
read moreNovember 2020- Pittsburg, PA According to publicly available records Keith Thomas Lohm, Sr. (CRD#1516728), a former stockbroker who last worked for Citizens Securities, Inc., discloses a termination from employment. The…
read moreOctober 2020- Salt Lake City, UT According to publicly available records, former Cetera Advisor Networks, financial advisor Stanley B. Secor, has been barred from the securities industry by FINRA and…
read moreApril 2020-Houston, TX According to publicly available records of Rodrick Dow (CRD#2855724) , a former stockbroker who last worked for Securities America, Inc., was recently suspended indefinitely. The Financial Industry Regulatory…
read moreJanuary 2020- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by Cetera Advisors, disclose a pending customer dispute and 3 prior customer disputes . The Financial Industry Regulatory…
read moreJanuary 2020- Fresno, CA The FINRA records of Kendall J. Groom , a broker previously employed by Independent Financial Group , disclose a regulatory event resulting in his bar from the securities industry. The Financial Industry…
read moreJanuary 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by Cetera Advisor Networks , disclose a pending customer dispute and a prior customer dispute. The Financial Industry…
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