Alicia Chester Investigation June 2022-Southlake, TX According to publicly available records Alicia Chester a currently unregistered broker who last worked for BBVA Securities, discloses a final regulatory matter resulting in a…
read moreTravis Eiland Investigation June 2022-Baytown, TX According to publicly available records Travis Eiland a currently unregistered broker who last worked for HD Vest Investment Services (Avantax), discloses a pending customer dispute and a…
read moreFrank Mathis Investigation June 2022-Westlake , TX According to publicly available records Frank Mathis, a former broker who last worked for Fidelity Brokerage Services, discloses a final regulatory matter resulting in…
read moreAnthony Frank Prieto Investigation June 2022-Tampa, FL According to publicly available records Anthony Frank Prieto, a currently unregistered broker who last worked for Royal Alliance Associates, Inc., discloses a pending United…
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…
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