George Fellows Investigation April 2023- Washington, DC The FINRA records of George W. Fellows, Jr., a former Merrill Lynch broker, disclose a regulatory event, a pending customer dispute and a termination.…
read moreWade Theo Papas Investigation April 2023-New York, NY According to publicly available records Wade Theo Papas, a former National Securities Corporation broker discloses 2 pending customer disputes. The Financial Industry Regulatory…
read moreHeath Goldstein Investigation April 2023-Clarks Summit, PA According to publicly available records Heath Gary Goldstein, a broker employed by Western International Securities discloses $821,209 in final customer disputes and multiple pending customer…
read moreLeo Chien Investigation March, 2023 – San Gabriel, CA The FINRA records of Leo Li-Yuan Chien a broker currently employed by Cetera Investment Services , disclose 2 pending and 2 priorcustomer disputes.…
read moreChristopher Passero Investigation March 2023-Hurricane, WV According to publicly available records Christopher John Passero, a Money Concepts Capital Corp. broker discloses a regulatory event, prior customer dispute and a pending…
read moreJohn Bulicek Investigation March 2023- New York, NY The FINRA records of John David Bulicek, a stockbroker who is employed by Avalon Securities, Ltd., disclose a pending civil suit alleging the sale…
read moreNatAlliance Securities March 2023- Austin, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based NatAlliance Securities (CRD 39455) was censured and fined $40,000 for mismarking bonds and…
read moreChristopher Blumer Investigation March 2023- New York, NY The FINRA records of Michael Christopher Blumer, a former SW Financial broker who currently works for Spartan Capital Securities, disclose two pending and two prior…
read moreShad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of Shad Ketcher, a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
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