September 2019 Capital Financial Services (CFS) , a brokerage firm with headquarters in Minot, North Dakota, recently notified its customers that it is closing down its business on or about…
read moreMarch 2020-Scottsdale, AZ We are investigating former Coastal Equities Inc. broker Luke Michael Johnson on behalf of an Arizona resident who alleges that she was sold an unsuitable investment in…
read moreSeptember 2019, New York, NY According to publicly available records Nicholas James Schiano (CRD#4429212) , a stockbroker currently registered with Spartan Capital Securities, disclose 1 prior customer dispute and 1 pending…
read moreSeptember 2019, Melville, NY According to publicly available records Robert Paul Solow (CRD# 4532161) , a stockbroker who is not not registered and who last worked for Joseph Gunnar & Co.…
read moreSeptember 2019 – Brentwood, TN According to publicly available records Thomas Jenkins Parker (CRD#356789) , a stockbroker who is currently registered with Thoroughbred Financial Services, disclose 2 prior regulatory events, 9…
read moreSeptember 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…
read moreJuly 2019, New York, NY According to publicly available records Leonard Vincent Gallick, Jr. (CRD#2593465) , a stockbroker currently registered with Worden Capital Management , disclose 6 prior customer disputes and 1…
read moreJune 2019, Red Bank, NJ According to publicly available records Andre Pierre Davis (CRD#1417097) , a stockbroker who is not currently registered and who was last registered with First Standard Financial…
read moreJuly 2019 – Irvine, CA According to publicly available records William A. Shopoff (CRD#1273471) , a stockbroker who is currently registered with Shopoff Securities Inc., disclose a pending regulatory event , 2…
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