May 2019 UPDATE NEXT TO BE PURCHASED BY ATRIA | SANCTIONED OVER MUTUAL FUND SHARES—In January 2019 NEXT Financial Group announced plans to be purchased by private equity backed Atria…
read moreOCTOBER 2017 James V. Marino , a former stockbroker in Pompano Beach, FL, who was last employed by Edward Jones , was recently barred permanently from the securities industry by FINRA. …
read moreAPRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…
read moreMay 2017-West Palm Beach, FL In connection with a currently pending lawsuit, we are investigating thefts from customer accounts by brokers who were affiliated with NEXT Financial Group, a FINRA…
read moreApril 2019-Bangor, Maine According to publicly available records Robert Kenneth Lindell, , a previously registered stockbroker and former Maine lawmaker, who was last employed by Richfield Orion International, disclose 5…
read moreMarch 2017-Sallisaw, OK According to publicly available records Austin W. Morton , (CRD# 5538108) , a currently unregistered stockbroker who previously worked for Edward Jones disclose a pending regulatory matter, a pending customer dispute and…
read moreFebruary 2017-Oshkosh, Wisconsin According to US News, the sheriff of Winnebago County reports that former Thrivent Investment Management stock broker Jean A. Walsh-Josephson and her husband, Dewey Josephson, were found…
read moreNorth Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…
read moreSeptember 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…
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