Oklahoma City, OK According to FINRA records, Tonya M. White (aka Tonya M. Nix) , a stockbroker who formerly worked for Edward Jones discloses a final regulatory matter and a separation from employment after…
read moreUPDATE SEPTEMBER 2016-FINRA named Glen J. Rauch in a complaint alleging that following his termination from registration(see below) he repeatedly sent abusive, obscene, intimidating and threatening messages to a principal of…
read moreJanuary 2020-Bayville, New Jersey According to FINRA records, James F. Fosbre, IV , a stockbroker who formerly worked for United Planners Financial Services , discloses a prior final customer dispute , a termination from employment…
read moreFort Worth, Texas According to FINRA records, Marvin T. Petty, Jr. , a stockbroker who works for United Planners Financial Services , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreNew York According to FINRA records, Achilleas Psihudakis, a stockbroker who formerly worked for Merrill Lynch , discloses a termination and two prior final financial disclosures. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreBirmingham, Michigan According to FINRA records, Bassam A. Salem, a stockbroker who currently works for Wunderlich Securities , discloses a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreFlint, Michigan According to FINRA records, Michael J. Hebner, a stockbroker who currently works for IFS Securities , discloses a pending customer dispute, four prior final customer disputes and a termination. The Financial Industry Regulatory…
read moreBeachwood, Ohio MAY 2017 UPDATE-In 4/2017 a FINRA arbitration panel in Cleveland, OH, awarded a couple over $1 million in FINRA Case #16-0575, Holmes v Wunderlich Securities and Ralph DeRose.…
read moreNew York According to FINRA records, Humbert B. Powell, III , a stockbroker who works for Wunderlich Securities , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
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