Oppenheimer Hit with $36M Arbitration Award Attempt to Have It Set Aside Fails June 2023 – Atlanta, GA In September 2022 a FINRA arbitration panel awarded $36 million…
read moreJohn “JC” Carroll Investigation June 2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by Vanderbilt Securities, discloses a final regulatory matter…
read moreGeorge Fellows Investigation April 2023- Washington, DC The FINRA records of George W. Fellows, Jr., a former Merrill Lynch broker, disclose a regulatory event, a pending customer dispute and a termination.…
read moreWilliam Huthnance Investigation February 2023-Houston, TX The FINRA records of William Huthnance, a UBS Financial Services broker, discloses 2 past customer disputes and 2 customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreHowell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a $58K customer dispute. The Financial Industry…
read moreAnthony Manougian Investigation October, 2022 – Melville, NY The FINRA records of Anthony Joseph Manougian, an Oppenheimer & Co. broker, disclose a pending suit by a former customer seeking damages of $3.5 million.…
read moreSteve Baaden Investigation August, 2022 – Dallas, TX The FINRA records of Steven R. Baaden, an Oppenheimer & Co. broker, disclose settlement of a recent customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreDennis Ayre Investigation April 2022-Beverly Hills, CA According to publicly available records Dennis Ayre, a former stockbroker who last worked for Hill Top Securities discloses that he has 9 prior customer complaints…
read moreGustavo Miramontes Investigation March 2022 – Los Angeles, CA According to publicly available records Gustavo Miramontes, a stockbroker with Oppenheimer & Co., discloses 5 prior customer disputes, 5 pending customer…
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