Adrian R. London Investigation June 2023-Atlanta GA According to publicly available records Adrian R. London a former broker who last worked for J.P. Morgan Securities, discloses a final regulatory matter resulting…
read moreFrank Mathis Investigation June 2022-Westlake , TX According to publicly available records Frank Mathis, a former broker who last worked for Fidelity Brokerage Services, discloses a final regulatory matter resulting in…
read moreDerek Johnson Investigation May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P. Morgan broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreMay 2018- Huffman, Texas According to FINRA records, Charlotte A. Guin, a former stockbroker who was last employed by J.P. Morgan Securities , disclose a prior regulatory event a termination from employment…
read moreJanuary 11, 2016- San Antonio, Texas Marco A. Mendoza , formerly a broker with J.P. Morgan Securities was permanently barred from the securities industry, for failing to respond to FINRA request…
read moreMay 2018 Update–Charlotte Guin is subject of $10M suit. Follow this for more information. Original Post-August 5, 2015– Huffman, Texas Charlotte Ann Guin , entered into a Letter of Acceptance Waiver and Consent…
read moreMarch 30, 2015, Grapevine, Texas Sam Marshall Stull entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…
read moreMarch 5, 2015-Boynton Beach, FL Kamran Daryush Nougzust entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that Nougzust failed to provide…
read moreFebruary 23, 2015 Alen Alic entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in September 2014, while working as a teller…
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