July 2021- Boca Raton, FL We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses a prior regulatory matter, 2 pending customer disputes and…
read moreJuly 2021-San Jose, CA According to publicly available records. Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc., discloses 1 pending and 4 prior customer disputes. The Financial…
read moreSeptember 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…
read moreJuly 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL, will close it doors and roll its business up into an…
read moreMarch 2018 – Tampa, FL According to publicly available records , Ronald D. Clark , (CRD# 1086724) , a stockbroker who is employed by Summit Brokerage Services, disclose 2 prior regulatory events, 2 pending customer…
read moreApril 2017- Scottsdale, AZ The FINRA records of Dennis D. Rasmusson, a stockbroker who is currently employed by Berthel, Fisher & Company Financial Services, Inc. and was previously employed by VSR Financial Services, disclose a…
read moreApril 2017- Simi Valley, CA The FINRA records of Steven H. Murphy, a stockbroker who is currently employed by Summit Brokerage Services and was previously employed by VSR Financial Services, disclose a pending customer dispute and…
read moreApril 2017-Essex Junction, VT The FINRA records of Robert J. Hudson, Jr. , a stockbroker who is currently employed by Summit Brokerage Services disclose 2 prior regulatory events, a pending customer dispute, a prior…
read moreApril 2017-Arlington, MA The FINRA records of John G. Lewis III , a stockbroker who is currently employed by Summit Brokerage Services disclose a pending customer dispute over investments in United Development Funding. The Financial…
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