Thomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray , a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreFrancisco Valenzuela Investigation June 2022- Phoenix, AZ According to FINRA records, Francisco J. Valenzuela , a former broker who previously worked for Morgan Stanley , discloses 2 regulatory events, 4 prior…
read moreRobert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI
Robert David Investigation May 2022- Farmington Hills, MI According to FINRA records, Robert C. David, Jr. , a broker who previously worked for Morgan Stanley , discloses a regulatory event,…
read moreDerek Johnson Investigation May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P. Morgan broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreMark Payne Investigation May 2022- Roseville, CA According to publicly available records, Mark Christopher Payne, a broker with Morgan Stanley discloses a recently filed a FINRA case in which the customer is…
read moreElizabeth Layne Investigation May 2022- Atlanta, GA According to publicly available records Elizabeth M. Layne (aka Elizabeth Muse Hearn & Elizabeth Anne Muse) a broker with Morgan Stanley Smith Barney discloses a large…
read moreScott Bremus Investigation April 2022- Dacula, GA According to publicly available records Scott Bremus, a broker previously registered with LPL Financial discloses a final customer dispute and a termination from…
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…
read moreDawn M. Collum Investigation February 2022- Kerrville, Texas According to publicly available records, Dawn M. Collum , a broker with Ameriprise Financial in Kerrville, Texas, discloses a customer complaint. The Financial Industry…
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