February 2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459) a stockbroker previously employed by BCG Securities, Inc., discloses a regulatory event, a civil event, 3 customer…
read moreOctober 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller (CRD#2669776) , a former stockbroker who was last employed by LPL Financial , disclose a settled customer dispute. The Financial Industry…
read moreJune 2019 UPDATE–Dallas, TX We are currently pursuing FINRA arbitration claims on behalf of more than 20 individuals who were were customers of Dexter Thomas Financial Services. These individuals are…
read moreSeptember 2019 -Ft. Worth, Texas The FINRA records of Timothy D. Walsh , a broker who is not currently registered with any broker dealer and who was last employed by Fortune Financial…
read moreMay 2018- Otsego, MN According to FINRA records, Bradley J. Freimark , a stock broker who is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses 19 prior customer…
read moreMay 2018 According to a FINRA News Release, Fifth Third Securities was fined $4 million and required to pay $2 million in restitution for failing to appropriately consider and accurately describe the…
read moreApril 2018 -Lafayette, LA According to publicly available records Keith A. Fontenot (CRD#2296303) , a stockbroker who currently is employed by Wells Fargo Clearing Services, disclose settlements in 2 customer disputes. The Financial…
read moreApril 2018 The FINRA records of Park Avenue Securities , a registered brokerage firm headquartered in New York , disclose 12 prior regulatory events and one pending regulatory matter. The Financial Industry Regulatory…
read moreDecember 2017-Brockton, MA According to FINRA records Joeann M. Walker, (CRD# 2210194) , a stockbroker who formerly worked for NEXT Financial Group and LPL FInancial was barred from the securities industry for failing…
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