Stephen Marek Investigation June 2023-Uniondale , NY According to publicly available records Stephen Marek a Joseph Gunnar & Co. broker, discloses 2 prior customer disputes and a pending customer dispute. …
read moreGary Benson Investigation June 2023-Encino, CA According to publicly available record Gary Benson, an Independent Financial Group broker discloses eight prior customer disputes and one pending customer dispute. The Financial Industry Regulatory…
read moreAndrew Keefer Investigation June 2023 – Orlando, FL According to publicly available records Andrew J. Keefer , a broker with Independent Financial Partners/IFP Securities, discloses a $500,000 pending customer dispute The Financial…
read moreCraig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA
Craig Accardo Investigation June 2023-Metairie, LA According to publicly available records Craig Accardo a FSC Securities Corporation broker discloses a prior customer dispute and a pending customer dispute. The Financial…
read moreJohn Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL
John Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services , discloses a final regulatory matter resulting in…
read moreBrian Wurdermann Investigation June 2023-New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets, discloses a regulatory matter resulting in a…
read moreRonald Diaz Investigation June 2023-Tuscon, AZ The FINRA records of Ronald Diaz , a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in…
read moreRoman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans, a broker employed by Raymond James & Associates, Inc. disclose a regulatory matter and a customer dispute. The…
read moreDerek Rehill Investigation June 2023-Garden City, NY According to publicly available records Derek John Rehill, a VCS Venture Securities broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…
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