Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records Ashley Charles Woodard , a stockbroker previously employed by VOYA Financial, discloses 16 prior customer dispute…
read moreDaniel Pita Investigation April 2023-Sunrise, FL According to publicly available records Daniel Pita , a former broker who last worked for NYLife Securities, discloses a final regulatory matter resulting in a…
read moreKyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren, a stock broker previously employed by NYLife Securities, disclose 2 regulatory events and a termination from employment. The…
read moreMicheal 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 moreScarlett Ramsey Investigation August 2022-Lubbock, TX According to publicly available records Scarlett Deann Ramsey ,a former broker who last worked for NY Life Securities, discloses a final regulatory matter resulting in…
read moreAugust 2021- New Orleans, LA According to publicly recorded records, Thomas J. Barone , a currently unregistered financial advisor who was last employed by NYLife Securities, discloses a regulatory event, …
read moreMay 2020- St. Augustine, FL The FINRA records of Gabriel (Gabe) William Hynes, a broker previously employed by Kestra Investment Services , disclose two regulatory events, one resulting in his bar from the…
read moreApril 2020-San Antonio, TX The FINRA records of Stephen A. Encino, a broker previously employed by NYLife Securities, disclose a regulatory event resulting in his bar from the securities industry. The Financial…
read moreFebruary 2020- Milledgeville, GA The FINRA records of Dean Harrison Grant , a former stock broker who last worked for M Holdings Securities, Inc. , disclose a regulatory event resulting in a bar from the securities…
read more