Ronald Molo Investigation March 2022-Joliet, IL The FINRA records of Ronald T. Molo, a broker who formerly worked for Edward Jones, disclose 2 regulatory events, a civil suit, 5 prior…
read moreMarcus Parker Investigation October 2021-Santa Fe, New Mexico According to publicly available records Marcus Duane Parker , a former stockbroker who last worked for Wells Fargo Clearing Services discloses that he has been sued…
read moreApril 2020- McAllen, TX The FINRA records of Ma Rosa Linan Abrego, a broker previously employed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated disclose a regulatory event resulting in a…
read moreFebruary 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya , a former stock broker who last worked for Kovack Securities, Inc. , disclose a regulatory event resulting in a bar from the…
read moreSeptember 2019 – Port Chester, NY The FINRA records of Jamie R. Rodriguez, a former stockbroker who was last employed by Cuso Financial Services disclose he has been barred from the securities industry…
read moreJanuary 2020 -Melville, New York According to publicly available records Apostolos Nicolas Pitsironis (also known as Paul Pitsironis) , discloses that he was recently barred from the securities industry for…
read moreJanuary 2019- Ft. Lauderdale, FL According to publicly available records Roger Kroeger, (CRD# 1526864) , a previously registered stockbroker who was last employed by Invest Financial Corporation, disclose a regulatory event,…
read moreOctober 2017 – Southfield, MI According to publicly available records Holly M. Maurer (CRD#2764991) , a stockbroker who is registered with Corecap Investments , disclose 5 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…
read moreAugust 2018-Birmingham, Michigan The FINRA records of John C. Maccoll, a stock broker who was last employed by UBS Financial Services , disclose that he was recently discharged by UBS after failing to cooperate…
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