Xiao Qin (Sarah) Komischke Investigation November 2021- New York, NY According to publicly available records, former Raymond James financial advisor Xiao Qin “Sarah” Komischke, is the subject of two pending…
read moreJuly 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc., discloses 3 regulatory events, 7 final customer disputes,…
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 moreSeptember 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a former stockbroker who was last employed by Girard Securities , disclose a prior regulatory event, 3 prior customer disputes and a…
read moreSeptember 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a former stockbroker who was last employed by Girard Securities , disclose a prior regulatory event, 3 prior customer disputes and a…
read moreGreenwood, CO According to FINRA records, Michael M. Hurtgen , a stock broker currently employed by Girard Securities , discloses a termination from prior employment. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…
read moreBrent Van Lott Investigation October 2022- Orem, Utah According to FINRA records, Brent Van Lott , a stock broker who is not currently and who was last employed by MHL Investments , discloses a regulatory event,…
read moreDecember 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…
read moreMarch 9, 2015- San Antonio, Texas The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…
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