Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered and who was last…
read moreSeptember 2021- Largo, FL According to publicly available records, Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…
read moreCoral Gables, Florida According to FINRA records, James P. Scullin , a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…
read moreApril 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) , a former stockbroker who last worked for Raymond, James & Associates, discloses a regulatory event, 3 customer…
read moreOctober 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker, disclose a pending customer dispute, 2 prior…
read moreNovember 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl , a stock broker who was, until recently, employed by Wells Fargo Advisors Financial Network , disclose a pending customer dispute and…
read moreJanuary 2020 -Palm Harbor, Florida The FINRA records of Charles Joseph Lawrence, a former stockbroker who was last employed by R. F. Lafferty & Co. disclose a final regulatory matter resulting…
read moreMarch 2019- Charlotte, N. Carolina According to FINRA records, Dennis Allen Hayes , a stock broker who is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…
read moreApril 2018 -Boca Raton, FL-Atlanta, GA According to FINRA records, Stacy Cheney-Jamison , a currently unregistered stockbroker who formerly was employed by CUNA Brokerage Services, disclose a pending customer dispute. The Financial…
read more