Joseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop, a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital, disclose…
read moreApril 4, 2016 The Securities and Exchange Commission (SEC) filed a complaint charging four individuals with fraud on senior citizens who were tempted to “free dinner” seminars where they were…
read moreVero Beach, Florida According to FINRA records, Arhonda Guinn, a stockbroker who formerly worked for Stifel, Nicolaus & Co. discloses a regulatory event and a termination. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreDavid Patrick Thomas, a resident of Washington state was recently sanctioned by securities regulators in Washington in connection with the sale of LLC membership interests issued by Chadbourne Partners,…
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