Kenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…
read moreAlexandra Smith Investigation June 2023-St. Petersburg, FL The FINRA records of Alexandra Smith , a former stock broker who was last employed in the industry by J.P. Morgan Securities , disclose 2…
read moreChris “Kit” Hartman Investigation June 2023 – Ft Lauderdale, FL According to publicly available records Chris “Kit” Hartman, a stockbroker previously employed by Kovack Securities, discloses 3 pending customer disputes. The…
read moreAshley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records Ashley Charles Woodard , a stockbroker previously employed by VOYA Financial, discloses 16 prior customer dispute…
read moreJames Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
read moreStifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…
read moreMarianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors, discloses a final regulatory matter resulting in a…
read moreLeonid Yurovsky Investigation April 2023– New York, NY According to publicly available records, Leonid Yurovsky, a broker for Joseph Stone Capital, discloses a final regulatory matter resulting in a 5 month…
read moreDarryl Cohen-Misappropriation From NBA Player Accounts April 2023-Westlake Village, C A The FINRA records of Darryl Cohen, a former stock broker who was last employed in the industry by Morgan Stanley…
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