John Rochester Investigation November 2021- Santa Fe, NM According to publicly available records, John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…
read moreTimothy J. Prouty Investigation November 2021- Albuquerque, NM According to publicly available records, Timothy J. Prouty, a broker previously employed with Morgan Stanley discloses a large arbitration award to a former customer…
read moreAugust 2021- Greenwood Village, CO According to publicly available records, Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…
read moreNovember 2020- Tampa, FL According to publicly available records Stuart Henley (CRD#1368973), a former stockbroker who last worked for Harmony Asset Management, discloses a regulatory event, a final customer dispute…
read moreJanuary 2019, Austin, TX According to publicly available records Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a cash settlement…
read moreMay 2017-Southlake, TX The FINRA records of Patrick D. Combs , a stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…
read moreMay 2017-Hauppauge, NY According to publicly available records Vincent P. Afflixio, Jr. , (CRD#1043147 ) , a stockbroker who is currently registered with Morgan Stanley discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreApril 2017-El Paso, Texas The FINRA records of Richard T. Lucker , a stockbroker who is currently employed by Wells Fargo Clearing Services disclose a pending dispute in which a customer seeks damages in excess of…
read moreSEPTEMBER 2018 The FINRA records of Rick A. Davidson, a stockbroker who is currently employed by National Securities Corporation disclose 5 prior customer disputes that that are final and a separation from employment after allegations. The…
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