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Aug 2021-Houston, TX The FINRA records of Lyle J. Boudreaux, a stockbroker who is not currently registered with any FINRA broker dealer and who was last employed in the securities industry by…
read moreJune 2019- Abilene, Texas We are currently investigating former SagePoint Financial financial advisor Jody Bowers on behalf of an elderly widow living in North Texas, who anticipates filing a FINRA…
read moreJuly 2017-Malaysia The FINRA records of Richard William Lunn Martin , a former stockbroker who was last employed by G.F. Investment Services, disclose a prior regulatory matter, 15 customer disputes, a current…
read moreDecember 2, 2015- Boca Raton, FL Summit Brokerage Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June…
read moreOctober 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…
read moreNovember 16, 2015 Virtus Investment Advisers agreed to pay $16.5 million in fines to settle charges with the SEC that it publicized false performance data for the AlphaSector exchange-traded fund…
read moreJune 9, 2015 Bolton Global Capital , entered into a Letter of Acceptance Waive and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from at least May…
read moreLast Updated: April 2024 (Lenexa, KS) Nathan Stucky Investigation Summary Here’s what you need to know about Lenexa, Kansas, stockbroker Nathan Stucky: Name: Mr. Nathan J. Stucky Current Employer: LPL…
read moreLast Updated: April 2024 StoneX Securities Investigation Summary Here’s what you need to know about brokerage firm StoneX Securites: Name: StoneX Securities Related & Former Entities: C.G. Maton Financial Services,…
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