Daniel Pita Investigation April 2023-Sunrise, FL According to publicly available records Daniel Pita , a former broker who last worked for NYLife Securities, discloses a final regulatory matter resulting in a…
read moreDavid Shane Simmons Investigation April 2023-Jefferson, NC According to publicly available records David Shane Simmons, a former broker who last worked for Lincoln Financial Securities Corporation , discloses a final regulatory…
read moreChristopher Gordon Investigation April 2023-Annapolis, MD According to publicly available records Christopher J. Gordon,a broker who formerly worked with Cambridge Investment Research, but now is with Centaurus Financial, discloses 4 pending customer…
read moreNickolay Kukukov Investigation April 2023-New York NY According to publicly available records Nickolay Kukukov , a former broker who last worked for Paulson Investment Company, discloses a final regulatory matter a…
read moreAmit Bhatia Investigation March 2023-New York NY According to publicly available records Amit Kumar Bhatia , a former broker who last worked for Raymond James, discloses a final regulatory matter. The…
read moreNatAlliance Securities March 2023- Austin, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based NatAlliance Securities (CRD 39455) was censured and fined $40,000 for mismarking bonds and…
read moreJanie Garza-Clark Investigation March 2023-Scottsdale, AZ According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management, discloses a final regulatory matter resulting in…
read moreMonica Laguna Investigation March 2023-Coppell, TX According to publicly available records, Monica A. Laguna a former broker who last worked for JP Morgan, discloses a final regulatory matter resulting in a…
read moreHorizon Private Equity III Investor Losses Estimated to Exceed 25 Million According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…
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