Ashley 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 moreGeorge M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of George M. Warner , a former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…
read moreMay 2019 – Angleton, Texas According to publicly available records, former Cambridge Investment Research financial advisor Anselmo Contreras, Jr. discloses a recent regulatory event resulting in his bar from the…
read moreMay 2017 – Beaumont, Texas Two elderly former customers of LPL Financial have filed a class action lawsuit against LPL Financial and their former broker Jason N. Anderson seeking damages current…
read moreOctober 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) , a currently unregistered stockbroker who last worked for IFS Securities , has numerous disclosures: 1 pending…
read moreJuly 2016 The FINRA records of Chad E. Thompson , a currently unlicensed stockbroker who was last employed by IFS Securities , disclose a final regulatory event and a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreJuly 2016-Chesapeake, VA The FINRA records of Antonio Costanzo , a former stock broker who was last employed by TItus Rockefeller , disclose a pending regulatory event, a prior final regulatory event, 8 prior customer disputes and a termination…
read moreUPDATE November 2016-Wellington, FL —FINRA permanently barred David Michael Levy finding that the trading activity in all of the customer accounts at issue was excessive and inconsistent with the customer’s…
read moreAndre V. Labarbera-Former Newport Coast Securities Broker-Discloses FINRA Investigation for Churning
July 2016-Dix Hills, NY The FINRA records of Andre V. Labarbera , a stock broker currently employed by Titus Rockefeller , disclose a pending regulatory event and 5 prior customer disputes and a currently pending customer dispute. The…
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