Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of Sanders L. Spangler , a former stockbroker who was once employed by LPL Financial disclose a regulatory matter, 6 prior customer disputes…
read moreJason R. Jaynes Investigation November 2021-Plano, TX According to publicly available records Jason R. Jaynes , a stockbroker who was previously registered with Merrill Lynch, discloses a pending customer dispute which is…
read morePatrick L. Brown Investigation October 2021-Montgomery, AL According to publicly available records Ronald F. Metcalf, Jr. , a stockbroker who was previously registered with Merrill Lynch, discloses the recent resolution of a…
read moreNEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…
read moreThomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL
Thomas Stratton Investigation September 2021 – Melbourne, FL According to publicly attained records, Thomas Ward Stratton, a stockbroker who was last employed by World Choice Securities, discloses a prior regulatory matter…
read moreSeptember 2021 – Los Angeles, CA According to publicly available records William S. Calvert, a broker with UBS Financial discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreAugust 2021 According to publicly available records David Alan Levine (CRD#4895654) , a former stockbroker who last worked for UBS Financial discloses 2 prior regulatory events, 2 prior customer disputes, a…
read moreJuly 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for David Lerner Associates, discloses a regulatory resulting in a suspension and fine…
read moreJuly 2021-NYC Brokerage firm Joseph Gunnar & Co. was founded in 1997 and is headquartered in New York City. According to their website they have 250 financial consultants with eight…
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