Jose A. Vidal Investigation April 2022- Miami, FL The FINRA records of Jose A. Vidal, a broker with Insigneo Securities who formerly worked for Wells Fargo Advisors, disclose a prior customer…
read moreMark Kregor Investigation March 2022- Louisville, KY The FINRA records of Mark F. Kregor, a broker with Stifel, Nicolaus & Company who formerly worked for Robert W. Baird, disclose a regulatory…
read moreKurt Stein Investigation March 2022- New York, NY The FINRA records of Kurt Anthony Stein, a Quint Capital Corporation broker, discloses 2 prior customer disputes and 1 pending customer dispute. The Financial…
read moreJoseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop, a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital, disclose…
read moreNovember 2020- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreMarch 2018-Terre Haute, Indiana We recently filed FINRA Case #18-1047 on behalf of an 81 year old widow from Terre Haute, Indiana, who alleges that Parkland Securities (formerly Sammons Securities)…
read moreFebruary 2018-Austin, Texas The FINRA records of Mark B. Reinking , a stockbroker who is not currently registered with any broker dealer and who was last employed by The Leaders Group Inc. disclose a pending…
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