Crescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent Securities Group (CRD 114993) was censured and fined $30,000 for…
read moreJune 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that they may be facing costs of up to $32 million in connection with a recent flurry…
read moreOppenheimer Hit with $36M Arbitration Award Attempt to Have It Set Aside Fails June 2023 – Atlanta, GA In September 2022 a FINRA arbitration panel awarded $36 million…
read moreLuis Paredes Calvo Investigation June 2023-San Juan, PR According to publicly available records Luis Paredes Calvo, Insigneo Services (aka Citi International Financial Services) broker, discloses a pending $5 million customer…
read moreGina Rea Kidd Investigation Misrepresented Insurance Policy Benefits June 2023-Bedford, VA According to publicly available records Gina Rea Kidd a currently unregistered broker who last worked for Allstate Financial Services, discloses…
read moreVictor A. Rigoni III Investigation June 2023-Lake Forest, IL The FINRA records of Victor A. Rigoni III , a broker previously with Summit Brokerage Services, disclose a FINRA suspension, 5 prior customer…
read moreDimitry Tikhonov Investigation Recommended GPB, Behringer Harvard REIT, Adageo Petrobonds June 2023- Torrance, CA The FINRA records of Dimitry Tikhonov, a Madison Avenue Securities broker, disclose a prior customer dispute and pending customer…
read moreKevin D. Houser Investigation June 2023- Allen Town, PA The FINRA records of Kevin D. Houser , a stockbroker employed by Ameriprise Financial Services, disclose several customer disputes . The Financial…
read more“Rob” Eisenberg Investigation June 2023- Vienna, VA The FINRA records of Robert “Rob” Eisenberg , a stockbroker employed by Lincoln Financial Advisors Corporation disclose a pending customer dispute. The Financial Industry Regulatory…
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