Michael J. Giannetti Investigation May 2022-McKinney , TX According to publicly available records Michael J. Giannetti, a former broker who last worked for MML Investors Services, discloses a final regulatory matter resulting…
read moreHector Flores Investigation May 2022-Lubbock, TX According to publicly available records Hector Mario Flores, a broker who last worked for MML Investors Services, discloses a final regulatory matter, a settled customer…
read moreTodd Sivak Investigation May 2022- Oconomowoc, WI According to publicly available records, Todd W. Sivak, an LPL Financial broker discloses pending customer dispute filed during his employment with MML Investors…
read moreRichard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services, discloses a settled customer dispute and a pending customer…
read moreJuly 2021- Sandwich, MA According to publicly available records Timothy Cooney (CRD#2946727), a former stockbroker who last worked for Allstate Financial Services, has been permanently barred from FINRA. The Financial…
read moreApril 2017-San Antonio, TX According to publicly available records Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial discloses 2 prior customer…
read moreApril 2017-Plano, TX The FINRA records of Leslie R. Rosenblatt , a stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…
read moreNovember 2016-Watertown, New York The FINRA records of Stanley C. Niekras, a stockbroker who was formerly employed by Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…
read moreJuly 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…
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