Scott Paul Smith Investigation June 2023– Huntington Beach, CA According to publicly available records, Scott Paul Smith, a currently unregistered broker who last worked for J.W. Cole Financial, discloses a final…
read moreOklahoma City, OK According to FINRA records, Tonya M. White (aka Tonya M. Nix) , a stockbroker who formerly worked for Edward Jones discloses a final regulatory matter and a separation from employment after…
read moreUPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records, Wesley “Clint” Smith , a stockbroker who formerly worked for Edward Jones discloses a pending customer dispute, 7 prior customer disputes and one final…
read moreJuly 14, 2015-Nokomis, Florida Kelly R. Brantley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…
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