Curt Howard Investigation November 2021-Sapulpa, OK According to publicly available records Curtis Lee Howard , a stockbroker who formerly worked for Edward Jones and who is currently registered with Level Four Financial,…
read moreMatthew T. Jennings Investigation August 2021- St. Louis, MO According to publicly available records, Matthew Thomas Jennings a broker previously employed with Edward Jones discloses a prior regulatory event, a termination…
read moreSeptember 2019-Murrieta, CA According to publicly available records Matthew J. Werthe, a stockbroker who is not currently registered and who was last employed by Raymond James Financial Services , disclose…
read moreApril 2017-Dallas, Texas The FINRA records of Marcos Yanez , a former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…
read moreMarch 2017-Sallisaw, OK According to publicly available records Austin W. Morton , (CRD# 5538108) , a currently unregistered stockbroker who previously worked for Edward Jones disclose a pending regulatory matter, a pending customer dispute and…
read moreStuart, 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 moreJanuary 2017-Columbia, South Carolina The FINRA records of Larry A. Stohs, a former stockbroker with Edward Jones disclose a termination from employment and two prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
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 moreIn March 2015, Daniel Gregory Retzke entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that during the course of an investigation…
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