Peter Ianace Investigation-Plano, TX The FINRA records of Peter Ianace , a former financial advisor who was last employed by Wells Fargo Clearing Services, disclose a regulatory event and three customer…
read moreJuly 2021- Conroe, TX We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…
read moreJuly 2021- Austin, TX According to publicly available records, former Sagepoint Financial financial advisor Daniel Dillard, discloses a regulatory event, 2 pending customer disputes, a termination from employment and an outstanding…
read moreAugust 2021- Boston, MA According to publicly available records, former Merrill Lynch, Pierce, Fenner & Smith financial advisor Charles Kenahan, discloses 2 regulatory events, 4 final customer disputes, one pending…
read moreJune 2020-New York According to publicly available records. Jacquin P. Fink (CRD#207807), a stockbroker who last worked for Merrill Lynch, discloses 10 prior customer disputes and 1 pending customer dispute.…
read moreSeptember 2018- Miami, FL According to publicly available records Lorenzo Esteva (CRD#2170595) , a former stockbroker previously registered with Merrill Lynch , disclose a regulatory event, six prior and one currently pending customer disputes, and a termination…
read moreApril 2018-Greenwood Village, Colorado According to FINRA records, former Merrill Lynch broker Joseph I. Yanofsky , discloses a recent regulatory suspension, a pending customer dispute, a termination from employment and 8 prior customer disputes that…
read moreMarch 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute, and a…
read moreMarch 2018 – Houston, TX According to publicly available records , Melvin (“Mel”) S. Jacobs , (CRD# 1361940) , a stockbroker who was previously employed by Merrill Lynch, Pierce, Fenner & Smith, disclose that he…
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