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Last Updated: February 2024 (Miami, Florida) Jorge Menendez Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Jorge Menendez: Name: Mr. Jorge Menendez Current Employer: Citigroup Global…
read moreLast Updated: December 2023 (Miami Beach, FL) Joao Bastos Investigation Summary Here’s what you need to know about Miami Beach, FL, stockbroker Joas Bastos: Name: Joao Carlos Bastos Current Employer:…
read moreLast Updated: October 2023 (Miami, FL) Alberto Valdes Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Alberto Valdes: Name: Mr. Alberto Valdes Current Employer: Insigneo Securities,…
read moreLuis Paredes Calvo Investigation June 2023-San Juan, PR According to publicly available records Luis Paredes Calvo, Insigneo Services (aka Citi International Financial Services) broker, discloses a pending $5 million customer…
read moreNovember 2020- Pittsburg, PA According to publicly available records Keith Thomas Lohm, Sr. (CRD#1516728), a former stockbroker who last worked for Citizens Securities, Inc., discloses a termination from employment. The…
read moreNovember 2017-Tampa, FL A FINRA arbitration panel comprised by an all public panel of three arbitrators, ordered RBC Capital Markets and broker Bruce Cameron of Norwell, Massachusetts, to pay a former…
read moreJuly 2017 Thirteen individuals from two Long Island-based boiler rooms were charged with securities fraud by the Securities and Exchange Commission who alleges that they made hundreds of thousands of…
read moreMarch 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…
read moreWhite Plains, New York According to FINRA records, John M. Gregory , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment . The Financial Industry Regulatory Authority (FINRA) is…
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