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Concorde Investment Services

Jeffrey Kiesnoski -Concorde Investment Services Broker-Discloses $1.8M+ in Customer Suits- Livonia, MI

Jeffrey Kiesnoski -Concorde Investment Services Broker-Discloses $1.8M+ in Customer Suits- Livonia, MI 150 150 ER

Jeffrey Kiesnoski Investigation April 2022- Livonia, MI The FINRA records of Jeffrey A. Kiesnoski,  a Concorde Investment Services broker,  disclose  two prior customer disputes and two pending customer disputes. The Financial Industry…

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Joseph Michaletz-DAI Securities Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Mankato, MN

Joseph Michaletz-DAI Securities Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Mankato, MN 150 150 Rex Securities Law

Joseph Michaletz Investigation November 2021-Mankato, MN According to publicly available records Joseph G. Michaletz  ,  a  stockbroker who is currently registered with DAI Securities,  disclose 3 currently pending customer disputes…

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Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA

Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA 150 150 Rex Securities Law

January 2020-San Marino, CA According to publicly available records of Robert Russel Tweed (CRD#2339324) ,  a  former stockbroker who last worked for Cabot Lodge Securities,  discloses 1 regulatory event, a pending…

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Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX

Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX 150 150 Rex Securities Law

May 2018-Houston, Texas According to FINRA records,  Meredith Ann McCutchen ,   a stock broker who was previously  employed by Concorde Investment Services and Berthel Fisher and who is currently employed by Moody Securities , discloses a recent…

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Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX

Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX 150 150 Rex Securities Law

The Woodlands, Texas We are investigating the sales practices of Frank Timothy Dunn, Jr. a broker who has been employed by Concorde Investment Services since 10/2014. In publicly available records…

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Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ

Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ 150 150 Rex Securities Law

September 2017 According to publicly available records Jill M. Cody , (CRD# 4333419) ,  a  former stockbroker who last worked for Concorde Investment Services  , has numerous disclosures:  1 prior regulatory events 8…

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Scott D. Offerman-Former Concorde Investment Services Broker-Discloses Termination from Employment/ Liens-New York

Scott D. Offerman-Former Concorde Investment Services Broker-Discloses Termination from Employment/ Liens-New York 150 150 Rex Securities Law

June 2017- New York According to publicly available records Scott David Offerman  (CRD#4619093) ,  a  stockbroker who currently is employed by Sandlapper Securities ,  discloses a termination from employment and 9 outstanding judgment/liens. The…

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RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ

RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ 150 150 Rex Securities Law

October 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) ,  a  currently unregistered stockbroker who last worked for IFS Securities  , has numerous disclosures:  1 pending…

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Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment

Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment 150 150 Rex Securities Law

July 2016- John Creek, Georgia The FINRA records of Gary L. Glover  , a stock broker currently employed by Concorde Investment Services, disclose  a prior final customer dispute,  2 pending customer disputes, a prior final financial event…

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