Kevin Hobbs Investigation June 2023-Lake Worth, FL According to publicly available records Kevin Hobbs a former broker who last worked for Primerica Financial Services (PFS Investments), discloses a final regulatory matter…
read moreAriel Rivero Investigation April 2023 -Miami, Florida, USA /Buenos Aires, Argentina We are investigating former Jefferies LLC financial advisor Ariel A. Rivero on behalf of a client residing in Buenos…
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 moreApril 2021- Des Moines, IL According to publicly available records John Krohn (CRD#2722975), a former stockbroker who last worked for Principal Securities, Inc. discloses a regulatory event , 3 pending…
read moreMay 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor , a former stockbroker who last worked for Raymond James Financial , disclose a recent regulatory event…
read moreSeptember 2019-Highland Ranch, CO The FINRA records of Scott P. Kozak , a unregistered broker who was last employed by Cetera Advisors disclose a recent regulatory event, 4 prior customer disputes and…
read moreMarch 2019- Charlotte, N. Carolina According to FINRA records, Dennis Allen Hayes , a stock broker who is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…
read moreApril 2018-New York Arthur R. Meunier (a/k/a Robert Breitman, a/k/a Robert Meunier-Breitman) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) agreeing…
read moreMarch 2018 – Houston, TX According to publicly available records , Melvin (“Mel”) S. Jacobs , (CRD# 1361940) , a stockbroker who was previously employed by Merrill Lynch, Pierce, Fenner & Smith, disclose that he…
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