April 2017-San Antonio, TX According to publicly available records Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial discloses 2 prior customer…
read moreApril 2017-Plano, TX The FINRA records of Leslie R. Rosenblatt , a stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…
read moreNovember 2016-Watertown, New York The FINRA records of Stanley C. Niekras, a stockbroker who was formerly employed by Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…
read moreJuly 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…
read moreJune 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…
read moreMarch 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…
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