Brett S. Ellen Investigation April 2022 – Las Vegas, NV According to publicly available records Brett S. Ellen, an unregistered broker who was most recently employed by Metric Financial , discloses…
read moreRobert Alvarez Investigaton November 2021- Metairie, LA According to publicly available records, Robert Alvarez, a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute…
read moreApril 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event and a customer…
read moreJanuary 2019- Boca Raton, FL According to publicly available records Philip E. Rosensweig , a stockbroker who formerly was registered with Laidlaw & Co. and who is currently employed by Westpark…
read moreOctober 2018- Royal Palm Beach, FL Publicly available records disclose that Charles Lewis Bloom, a former stockbroker who was previously employed by Chelsea Financial Services, discloses 3 regulatory events and a currently…
read moreMarch 2018 – Boca Raton, FL According to publicly available records Michael Polyakov, (CRD# 734810) , a stockbroker who is currently employed by Westpark Capital , disclose 3 prior settled customer disputes . The Financial Industry Regulatory Authority…
read moreSeptember 2017 – Daphne, AL According to publicly available records Damian M. Bell (CRD#2348521) , a stockbroker who was previously employed by WFG (Williams Financial Group) Investments, Inc. , disclose 2 pending and 5…
read moreUPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of Donald…
read moreMarch 23, 2016-Louisville, KY Steven D. Ridgley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Waddell…
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