August 2018-Appleton, WI The FINRA records of Edward A. Klug, a former stock broker who was last employed by Newbridge Securities , disclose 4 prior customer disputes, and 5 currently outstanding judgment/liens. The Financial…
read moreMay 2017- Columbus, OH According to publicly available records John G. Chess , (CRD#4812430) , a stockbroker who was previously registered with Investors Capital Corp. discloses two prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreMay 2017-Plymouth, MI The FINRA records of Curtis L. Whipple, a stockbroker who is currently registered with Kalos Capital disclose a prior regulatory event, a pending customer dispute, 3 prior customer disputes and a termination from…
read moreAustin, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…
read moreAugust 2015- Pompano Beach, Florida Walter Paul Priebe , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to notify his…
read moreJuly 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…
read moreAugust19, 2015, Walter Paul Priebe , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he acted in a fiduciary…
read moreNovember 3, 2014- The Financial Industry Regulatory Authority (FINRA) barred Richard A. McGuire from associating with any FINRA member firm in any capacity and ordered him to pay restitution of…
read moreThe Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…
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