Stuart, Florida According to publicly available records Shane David Ireland , (CRD# 5891934) , a currently unregistered stockbroker who last worked for Ameriprise Financial Services, discloses a termination from employment. The Financial Industry Regulatory…
read moreAugust 2016-Summerfield / The Villages, Florida The FINRA records of Dean T. Nicholson , a stock broker who is currently employed by Sagepoint Financial, dba Elliott Wealth Management Services , disclose a prior final regulatory event, a prior customer…
read moreJuly 2016 The FINRA records of Bahram Mirhashemi , a stock broker who formerly was employed by Accelerated Capital Group , disclose 2 prior final regulatory events, a currently pending regulatory event, 5 currently pending customer disputes, a prior final customer…
read moreJuly 2016- John Creek, Georgia The FINRA records of Gary L. Glover , a stock broker currently employed by Concorde Investment Services, disclose a prior final customer dispute, 2 pending customer disputes, a prior final financial event…
read moreFebruary 9, 2016- Plano, Texas William Wesley Marshall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he participated in private securities…
read moreJuly 9 , 2015- Plano, Texas Dylan Patrick Grayson , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…
read moreUPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer. Our Original Post–March 6, 2015, Fair Oaks Ranch, Texas Barry S. Brower, entered into a Letter of…
read moreMarch 9, 2015- San Antonio, Texas The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…
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