“Rob” Eisenberg Investigation June 2023- Vienna, VA The FINRA records of Robert “Rob” Eisenberg , a stockbroker employed by Lincoln Financial Advisors Corporation disclose a pending customer dispute. The Financial Industry Regulatory…
read moreWilliam Seibert Investigation March 2023-Houma, LA According to publicly available records William Colin Seibert, a Raymond James & Associates, Inc. broker, discloses a $897,500 settlement payment and a pending customer dispute.…
read moreNovember 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl , a stock broker who was, until recently, employed by Wells Fargo Advisors Financial Network , disclose a pending customer dispute and…
read moreApril 2018-Richardson, TX Reef Securities Inc. and its owner and president Frank Mauceli were sanctioned by FINRA on April 11, 2018, for failing to timely notify investors in an Oil…
read moreSeptember 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…
read moreMay 2017 – Carrollton, TX According to publicly available records Douglas R. Hardwick (CRD#4522610) , a stockbroker currently not registered, but who was previously registered with Texas Securities, Inc., discloses a pending regulatory…
read moreSee this for JULY 2018 UPDATE JULY 2017-Stephenville, TX According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed…
read moreFebruary 2017-Pasadena, CA According to publicly available records Warren Jesse Thomas , (CRD# 2299254) , a stockbroker who is currently employed by Lighthouse Capital Group, discloses a pending customer dispute. The…
read moreJuly 2020- Farmington, MO The FINRA records of Ray G. Reese , a stock broker currently employed by Money Concepts Capital Corp , disclose 2 pending and 3 prior final customer disputes. The Financial Industry Regulatory Authority…
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