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January 2024-Plano, TX The FINRA records of Richard (“Rick”) E. Poston , a stockbroker who last worked for H. Beck (now known as Grove Point Investments) in Plano, TX, discloses a pending…
read moreRichard “Chuck” Riggenbach Investigation April 2022- Bloomfield, IA According to publicly available records Richard “Chuck” Riggenbach, a broker previously registered with Woodbury Financial Services, Inc. discloses a pending customer dispute.…
read moreWilliam (Billy) Busch Investigation December 2021 – Austin, TX According to publicly available records William (Billy) D. Busch , a stockbroker who was previously registered with Morgan Stanley & Co. discloses the…
read moreMegurditch “Mike” Patatian Investigation November 2021- Westlake Village, CA According to publicly available records, Mike Patatian a former broker who was last employed by Western International Securities, Inc. discloses a pending…
read moreJune 2018-Chicago, Illinois A FINRA (Financial Industry Regulatory Authority) arbitration panel ordered brokerage firm Oppenheimer & Co. to pay a customer $800,000 in compensatory damages. The customer alleged that Oppenheimer…
read moreMay 2018- Centerville, OH According to FINRA records, David Joseph Schmerber, a stockbroker who was formerly employed by LPL Financial Services, disclose the recent settlement of a customer dispute. The Financial Industry…
read moreMarch 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…
read moreOctober 2017-West Palm Beach, FL The FINRA records of Paul Vincent Blum , a stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…
read moreOctober 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine…
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