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April 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order suspending Jason N. Anderson,…
read moreAccording to the U.S. Securities and Exchange Commission, Unauthorized Transactions “are trades that a broker makes for a customer without the customer’s permission or authorization.” It’s important to understand what…
read moreSean Sullivan Investigation September 2022- Melville, NY According to publicly available records, Sean T. Sullivan, a former Aegis Capital broker discloses customer disputes and a termination from employment. The Financial Industry…
read moreWilliam Torriente Investigation July 2022- Mt. Dora, Florida According to publicly available records, William “Eddy” Torriente, Jr. , a financial advisor previously employed by Comerica Securities, discloses a final regulatory matter,…
read moreGregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records, Gregory C. Collier, Sr. , a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…
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 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 moreJuly 2019 -Wagoner, OK According to FINRA records, William David Lancaster , a stockbroker who formerly was employed by Edward Jones, disclose a prior regulatory investigation, a prior customer dispute, a and…
read moreFebruary 2018-Dallas, Texas The FINRA records of Kenneth B. Neuner , a stockbroker who was formerly employed by Summit Brokerage Services, VSR Financial Services and TCFG Wealth Management disclose that he was recently barred from…
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