Micheal Gianetti Investigation February 2023-McKinney, TX The FINRA records of Micheal Gianneti, a former MML Investor Services broker, disclose that he is permanently barred from FINRA. The Financial Industry Regulatory Authority (FINRA)…
read moreTravis Eiland/ Avantax Wealth Management Investigation August 2022-Baytown, TX According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest), discloses a…
read moreMichael J. Giannetti Investigation May 2022-McKinney , TX According to publicly available records Michael J. Giannetti, a former broker who last worked for MML Investors Services, discloses a final regulatory matter resulting…
read moreHector Flores Investigation May 2022-Lubbock, TX According to publicly available records Hector Mario Flores, a broker who last worked for MML Investors Services, discloses a final regulatory matter, a settled customer…
read moreRichard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services, discloses a settled customer dispute and a pending customer…
read moreJuly 2021- Sandwich, MA According to publicly available records Timothy Cooney (CRD#2946727), a former stockbroker who last worked for Allstate Financial Services, has been permanently barred from FINRA. The Financial…
read moreApril 2019 – Albertville, AL According to publicly available records Floyd Earl Powell (CRD#2220029) , a stockbroker who is currently not registered, discloses a regulatory event, 2 pending and 3 final…
read moreOctober 2017-San Antonio, TX We are currently investigating Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial until he was discharged for…
read moreMay 2017- Plano, Texas The FINRA records of Kyle J. Gardner, a stockbroker who is currently employed by SCF Securities disclose a pending customer dispute for losses on investments in real estate investment trusts (REITs). The…
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