Chris McFadden Investigation June 2022- Dallas, TX According to publicly available records, Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX , discloses…
read moreSwiftarc Capital & Siddharth Jawahar Accused of Fraud June 2022- Austin, TX On June 7, 2022, the Texas State Securities Board (TSSB) entered an order revoking the registration of Swiftarc…
read moreFrancisco Valenzuela Investigation June 2022- Phoenix, AZ According to FINRA records, Francisco J. Valenzuela , a former broker who previously worked for Morgan Stanley , discloses 2 regulatory events, 4 prior…
read moreMark A. Thompson Investigation May 2022- Atlanta, GA The FINRA records of Mark Alan Thompson , a stockbroker who is employed by Arkadios Capital disclose a pending customer dispute. The Financial Industry Regulatory…
read moreJody P. Young Investigation May 2022- Atlanta, GA The FINRA records of Joseph “Jody” P. Young , founding partner of ACG Wealth Management, a former stockbroker who was previously employed by Arkadios Capital disclose…
read moreJason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…
read morePatrick Chitwood Investigation May 2022-Birmingham, AL The FINRA records of Patrick R. Chitwood , owner of Chitwood Advisory Group and Chitwood Wealth Management, a stockbroker who was formerly employed by Arkadios Capital disclose a…
read moreShaun Hayes Investigation May 2022-Fort Worth, TX According to publicly available records Shaun Eugene Hayes , a stockbroker who is currently unregistered and who last was employed by Merrill Lynch discloses…
read moreKurt R. Baldry Investigation May 2022- Ostego, MN According to publicly recorded records, Kurt Russell Baldry, a broker with Ausdal Financial Services discloses a pending customer dispute and 2 prior…
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