Brett Rutherford Investigation March, 2023 – Raleigh, NC The FINRA records of Brett Rutherford, a Capital Investment Group, Inc. broker, disclose a pending customer dispute involving GWG Holdings Inc.. The Financial Industry…
read moreJohn Moy Investigation March 2023-Boca Raton, FL The FINRA records of John Kirkland Moy, an Newbridge Securities Corporation broker, discloses 3 final customer disputes, a pending customer dispute and two terminations from employment.…
read moreJohn Zaffarano Investigation March 2023- Boca Raton, FL According to publicly available records, John Zaffarano an Newbridge Securities Corporation broker discloses a currently pending customer dispute. The Financial Industry Regulatory…
read moreAnnetta Marie Box Investigation February 2023- Dallas, TX According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research, discloses a final regulatory matter resulting…
read moreRaymond Jennison, Jr. Investigation February 2023-Dallas, TX According to publicly available records, Raymond Jennison, Jr. a former broker who last worked for First Canterbury Securities, Inc., discloses a final regulatory matter…
read moreDarrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Patrick Roberts, a former broker who last worked for Spire Securities, discloses a final regulatory matter resulting…
read moreCrystal Turk Investigation February 2023 – Dallas, TX According to publicly attained records, Crystal Turk, a stockbroker who was last employed by JP Morgan Securities , discloses a 2 month regulatory…
read moreErnest Frerking Investigation February 2023- Austin, TX According to publicly availble records Ernest Frerking, a former broker who last worked for Merrill Lynch, discloses a final regulatory matter resulting in a permanent…
read moreKyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren, a stock broker previously employed by NYLife Securities, disclose 2 regulatory events and a termination from employment. The…
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