February 2018-Saint Charles, MO The FINRA records of Robert (Bob) Wamhoff, a stockbroker who was formerly employed by VSR Financial Services disclose 2 currently pending and 8 prior customer disputes that are final. The Financial…
read moreFebruary 2019-Wimberley, Texas The FINRA records of William (Bill) Glenn Downing , a former stock broker who was last employed by Coastal Equities Inc. disclose a prior regulator event, a pending customer dispute,…
read moreMarch 2018 The FINRA records of Gil Sharon , a stock broker who is employed by Maxim Group LLC disclose a pending customer dispute and 3 prior customer disputes. The Financial Industry Regulatory…
read moreMarch 2018 The FINRA records of Amadou Bah, a former stock broker who was last employed employed by Maxim Group LLC disclose a regulatory matter resulting in a bar from the securities industry…
read moreMarch 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…
read moreMarch 2018 – New York The FINRA records of Joseph M. Thurnherr, a stock broker who is currently employed by Spartan Capital Securities disclose two prior regulatory matters, three pending customer disputes , three prior final…
read moreMarch 2018- Charlotte, N. Carolina The FINRA records of Joseph L. Cotter , a stockbroker who is currently not registered and who was last employed by Petersen Investments disclose a recent regulatory matter resulting…
read moreRichard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL
March 2018- Daytona Beach, Florida The FINRA records of Richard Alan Shotz , a stockbroker who was last employed by Wells Fargo and Morgan Stanley disclose a recent regulatory matter resulting in his suspension. The…
read moreMarch 2018- Rogers, Arkansas The FINRA records of Norris Richard (“Richie”) Roberts, Jr. , a former stockbroker who was last employed by Stephens Inc. disclose a recent regulatory matter resulting in a permanent bar from…
read more