April 2018-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) , a stockbroker who last was employed by Cetera Advisors, and who is not currently registered with any brokerage firm, discloses…
read moreJuly 2021 UPDATE According to FINRA records, Marc A. Reda , a broker who is currently employed by Spartan Capital Securities, discloses a pending regulatory matter, a prior regulatory matter, a…
read moreOctober 2017-Apple Valley, MN The FINRA records of Joseph H. Sterling , a stockbroker who has been registered with Geneos Wealth Management since 2005 disclose 2 pending customer disputes. The Financial Industry Regulatory…
read moreUPDATE March 2019–Aldo Marchena, who is not currently registered with any broker dealer, was recently permanently barred from the securities industry in Florida. He discloses four customer disputes on his…
read moreOctober 2017-Austin, Texas / Greenville, South Carolina If you lost money on the Tiburon Saltwater Reclamation Fund, we may be able to help you recover damages. FINRA (The Financial Industry…
read moreOctober 2017-West Palm Beach, FL The FINRA records of Paul Vincent Blum , a stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…
read moreApril 2018-Plano, TX The FINRA records of William W. Marshall , a stockbroker who is currently registered with Ameriprise Financial Services disclose a prior regulatory event, 6 pending customer disputes including at least…
read moreOctober 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine…
read moreApril 2018–VSR Financial Services closed down its operations in the Fall of 2016. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity which is…
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