March 2018-Paradise Valley, AZ The FINRA records of Michael J. Blake , a stockbroker who is currently unregistered and who last was employed by Mid Atlantic Capital Corp. disclose 2 prior regulatory…
read moreJuly 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…
read moreMay 2017- El Segundo, CA The FINRA records of Hemant Kathuria , a stockbroker who is currently employed by Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…
read moreApril 2017-Williamsburg, VA The FINRA records of Terrell Calvin Lady , a stockbroker who is currently employed by DFPG Investments disclose a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreApril 2017-Manchester, NH The FINRA records of Frank Charles Scarito , a stockbroker who is currently employed by Berthel, Fisher & Co. disclose a prior final customer dispute that was resolved with a cash…
read moreUPDATE February 2019-In December FINRA named Reyes in a complaint alleging that he made fraudulent representations and omissions of material fact in connection with the sale of Regulation D securities.…
read moreApril 2017-Paradise Valley, AZ The FINRA records of Michael J. Blake , a stockbroker who is currently unregistered and who last was employed by Mid Atlantic Capital Corp. disclose a prior regulatory…
read moreApril 2017-Shawnee, KS The FINRA records of Daniel C. Stewart , a stockbroker who was formerly employed by VSR Financial Services disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreDennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
February 2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…
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