March 2018- 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…
read moreMarch 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 moreSEE THIS FOR JANUARY 2020 UPDATE APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here. March 2018-Rowlett, Texas The…
read moreMarch 2018 – Tampa, FL According to publicly available records , Ronald D. Clark , (CRD# 1086724) , a stockbroker who is employed by Summit Brokerage Services, disclose 2 prior regulatory events, 2 pending customer…
read moreMarch 2018 – Houston, TX According to publicly available records , Melvin (“Mel”) S. Jacobs , (CRD# 1361940) , a stockbroker who was previously employed by Merrill Lynch, Pierce, Fenner & Smith, disclose that he…
read moreMay 2020- San Antonio, TX According to publicly available records Barrett Oliver Schultz (aka Barrett Creed) , (CRD# 2741114) , a stockbroker who is employed by McNally Financial Services, discloses two recently settled…
read moreMarch 2018 – San Antonio, Texas According to publicly available records David Dorn McNally , (CRD# 839798) , a stockbroker who is employed by McNally Financial Services, disclose that he is the subject a…
read moreNovember 2019 – El Paso, Texas According to publicly available records Steven T. Yellen , (CRD# 1281663) , a stockbroker who is currently suspended and who was last employed by Ameriprise Financial…
read moreFebruary 2018 – San Marcos, Texas According to publicly available records Walter L. (Leighton) Stallones , (CRD# 433344) , a stockbroker who is currently employed by Hilltop Securities Independent Network, disclose that he was the…
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