• ER

Mark Stewart-M Stevens Securities Broker- Has Customer Suit over GWG L-Bonds-Irvine, CA
Mark Stewart-M Stevens Securities Broker- Has Customer Suit over GWG L-Bonds-Irvine, CA 150 150 ER

Mark Stewart Investigation June 2023 – Irvine, CA According to publicly available records Mark Stewart , a broker with  M Stevens Securities, discloses a pending customer dispute involving GWG L-Bonds. The…

read more
  • ER

John Orlando-Former SW Financial Broker- Customer Disputes Resolved for More Than $1.2M – Ft. Lauderdale, FL
John Orlando-Former SW Financial Broker- Customer Disputes Resolved for More Than $1.2M – Ft. Lauderdale, FL 150 150 ER

John A. Orlando Investigation June 2023 – Ft. Lauderdale, FL According to publicly available records  John Anthony Orlando ,  a  stockbroker previously employed by SW Financial,  discloses 2 regulatory events, 5 prior…

read more
  • ER

Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA
Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA 150 150 ER

Gary Benson Investigation June 2023-Encino, CA According to publicly available record Gary Benson, an Independent Financial Group broker discloses eight prior customer disputes and one pending customer dispute. The Financial Industry Regulatory…

read more
  • ER

Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA
Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA 150 150 ER

Craig Accardo Investigation June 2023-Metairie, LA According to publicly available records Craig Accardo a FSC Securities Corporation broker discloses a prior customer dispute and a pending customer dispute. The Financial…

read more
  • ER

John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL
John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL 150 150 ER

John Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services ,  discloses a final regulatory matter resulting in…

read more
  • ER

Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ
Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ 150 150 ER

Ronald Diaz Investigation June 2023-Tuscon, AZ The FINRA records of Ronald Diaz ,  a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in…

read more
  • ER

Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL
Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL 150 150 ER

Roman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans,  a broker employed by Raymond James & Associates, Inc. disclose a regulatory matter and a customer dispute. The…

read more
  • ER

Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY
Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY 150 150 ER

Derek Rehill Investigation June 2023-Garden City, NY According to publicly available records Derek John Rehill, a VCS Venture Securities broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…

read more
  • ER

Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL
Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL 150 150 ER

Maria Acevez Perez Investigation June  2023-Miami, FL According to publicly available records Maria Acevez Perez a broker employed by  VectorGlobal WMG,  discloses a regulatory matter resulting in a six month suspension…

read more
Enter your
text here

You cannot copy content of this page