Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors, discloses a final regulatory matter, a pending customer dispute, 7…
read moreScott Levine Investigation July 2022-Lake Worth, FL According to publicly available records Scott H. Levine a former broker who last worked for Ascendiant Capital Markets, discloses a final regulatory matter resulting…
read morePhilip Riposo Investigation July 2022-Scottsdale, AZ According to publicly available records Philip Riposo a former broker who last worked for United Planners’ Financial Services, discloses a final regulatory matter resulting in a…
read moreRobert Turner Investigation July 2022- Waco, Texas According to publicly available records Robert Turner , (CRD# 2113736 ), a stockbroker who formerly worked with UBS Financial Services, Inc. discloses 4 prior customer…
read moreJon Scheier Investigation July 2022-Denison , TX According to publicly available records Jon Scheier , a former broker who last worked for Edward Jones, discloses a final regulatory matter resulting in a…
read moreRobert Mooney Investigation July 2022-Forney, TX According to publicly available records Robert Wayne Mooney a currently unregistered broker who last worked for Allstate Financial Services, discloses a final regulatory matter resulting…
read moreDiane Simmons Investigation July 2022-Ovilla, TX According to publicly available records Diane Marie Simmons a currently unregistered broker who last worked for Horace Mann Investors, discloses a final regulatory matter resulting in…
read moreJune 2022- Fort Worth, TX According to publicly available records, Perry S. Abbonizio, a former registered investment advisor and stockbroker , was recently named in a complaint filed by the…
read moreGeorge M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of George M. Warner , a former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…
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