Andrew Keefer Investigation June 2023 – Orlando, FL According to publicly available records Andrew J. Keefer , a broker with Independent Financial Partners/IFP Securities, discloses a $500,000 pending customer dispute The Financial…
read moreJoseph Beam Investigation March 2023- Raleigh, NC According to publicly available records Joseph Beam, a broker employed by Capital Investment Group, Inc., discloses three customer disputes. The Financial Industry Regulatory…
read moreJon Ellefson Investigation February 2023- Harker Heights, TX According to publicly available records Jon Ellefson a broker employed by Intervest International Equities Securities, discloses three settled customer disputes and two…
read moreKenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL
Kenneth New/Center State Securities/GWG L-Bond Investigation October 2022- Merritt Island, FL According to publicly available records Kenneth J. New, a broker employed by Center Street Securities, discloses several customer disputes,…
read moreGlenn Romer/GWG L-Bond Investigation October 2022- Vero Beach, FL According to publicly available records Glenn J. Romer, a broker employed by Center Street Securities, discloses several customer disputes, including a…
read moreMorgan Darby Hill/GWG L-Bond Investigation October 2022- Woodstock, GA According to publicly available records Morgan Darby Hill, a broker formerly employed by Center Street Securities, discloses a pending customer suit…
read moreChristopher Wright Investigation September 2022- Prescott, AZ According to publicly available records Christopher Wright, a broker employed by Center Street Securities, discloses a pending customer suit involving an investment in…
read moreFebruary 29, 2016- Phoenix, AZ The Financial Industry Regulatory Authority (FINRA) barred Phoenix based broker David Joseph Escarcega for making unsuitable recommendations involving debentures to customers, many of whom were…
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