January 2020 – Northridge, CA According to publicly available records John Luis Torres (CRD#6322231) , a former stockbroker discloses a regulatory event resulting in his bar from the industry , 2 pending…
read moreNovember 2019-Scottsdale, Arizona Conrad Coggeshall has been charged by the Securities and Exchange Commission with fraud. The SEC complaint alleges that Coggeshall raised $700,000 from four elderly investors from April…
read moreNovember 2019- Ft. Lauderdale, FL According to a recent press release from the United States Attorney’s Office for the Southern District of Florida, Michael Jerome Atkins, 60, was arraigned on…
read moreNovember 2019- New York, NY The FINRA records of Herbert “Elias” Hafen , a financial advisor previously employed by Morgan Stanley, disclose a prior regulatory event, a pending criminal matter, a…
read moreSeptember 2019 – Port Chester, NY The FINRA records of Jamie R. Rodriguez, a former stockbroker who was last employed by Cuso Financial Services disclose he has been barred from the securities industry…
read moreJuly 2019 – Irvine, CA According to publicly available records William A. Shopoff (CRD#1273471) , a stockbroker who is currently registered with Shopoff Securities Inc., disclose a pending regulatory event , 2…
read moreJuly 2019-Austin, Texas The Texas State Securities Board (TSSB) issued a news release announcing that Metals.Com, has agreed to offer a full refund to some 84 Texas investors. According to…
read moreJune 2019- Sarasota, FL According to publicly available records Jodie A. Lamarre (CRD#2127928) , a stockbroker who is currently not registered discloses a regulatory event and 2 settled customer disputes .…
read moreJune 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities financial advisor Kyusun Kim, discloses 19 settled and 4 pending customer disputes and a termination…
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