January 2020-Red Bank, NJ According to publicly available records of Philip Joseph Sparacino (CRD#3243960) , a former stockbroker who last worked for First Standard Financial, discloses 2 regulatory events, a pending…
read moreJanuary 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…
read moreJanuary 2020-Minot, N. Dakota The FINRA records of Bart J. Bohrer , a broker who is currently employed by Calton & Associates disclose 3 pending customer disputes which seek, cumulatively, about…
read moreJanuary 2020- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by Cetera Advisors, disclose a pending customer dispute and 3 prior customer disputes . The Financial Industry Regulatory…
read moreJanuary 2020-San Marino, CA According to publicly available records of Robert Russel Tweed (CRD#2339324) , a former stockbroker who last worked for Cabot Lodge Securities, discloses 1 regulatory event, a pending…
read moreJanuary 2020 – San Jose, CA The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by Centaurus Financial, Inc., disclose 2 pending customer disputes. The Financial Industry Regulatory…
read moreJanuary 2020 – Wellington, FL The FINRA records of Jason Eric Zwibel, a stockbroker who is currently employed by Garden State Securities, disclose a pending customer dispute, 4 prior customer disputes and…
read moreJanuary 2020 – Atlanta, GA The FINRA records of of David Harrison Miller , a stockbroker with Peachcap Securities, discloses 5 prior customer disputes and 2 pending customer disputes. The Financial…
read moreJanuary 2020- Fresno, CA The FINRA records of Kendall J. Groom , a broker previously employed by Independent Financial Group , disclose a regulatory event resulting in his bar from the securities industry. The Financial Industry…
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