• ER

Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC
Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC 150 150 ER

Shawn Good Investigation June  2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for Morgan Stanley discloses a final regulatory matter resulting in a permanent…

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  • ER

Scott Paul Smith-Former J.W. Cole Financial Advisor-Discloses Regulatory Event, Customer Dispute and a Termination from Employment- Huntington Beach, CA
Scott Paul Smith-Former J.W. Cole Financial Advisor-Discloses Regulatory Event, Customer Dispute and a Termination from Employment- Huntington Beach, CA 150 150 ER

Scott Paul Smith Investigation June 2023– Huntington Beach, CA According to publicly available records, Scott Paul Smith, a currently unregistered broker who last worked for  J.W. Cole Financial,  discloses a final…

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  • ER

Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY
Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY 150 150 ER

Joseph F. Valdini Investigation June 2023-Melville, New York The FINRA records of Joseph F. Valdini ,  a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose 2 regulatory matters,…

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  • ER

Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA
Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA 150 150 ER

Adrian R. London Investigation June 2023-Atlanta GA According to publicly available records Adrian R. London a former broker who last worked for J.P. Morgan Securities,  discloses a final regulatory matter resulting…

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  • ER

Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME
Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME 150 150 ER

Robert “Bob” Thomas Investigation May 2023-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered  broker who formerly worked for Avantax Investment Services,   discloses the settlement of …

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  • ER

Eric Stone- Former Fidelity Brokerage Services Advisor- Borrows From Client – Barred From Industry by Securities Regulators -Jacksonville, FL
Eric Stone- Former Fidelity Brokerage Services Advisor- Borrows From Client – Barred From Industry by Securities Regulators -Jacksonville, FL 150 150 ER

Eric Stone Investigation June  2023-Jacksonville, FL According to publicly available records Eric James Stone a former broker who last worked for Fidelity Brokerage Services,  discloses a regulatory matter resulting in a…

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  • ER

Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY
Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY 150 150 ER

Sean Storm Boswick Investigation   June  2023-New York, NY The FINRA records of Sean “Storm” Boswick,  a former stock broker who was last employed in the industry by Brock Securities , disclose…

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  • ER

Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas
Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas 150 150 ER

Crescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent Securities Group (CRD 114993) was censured and fined $30,000 for…

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  • ER

Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA
Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 ER

June 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that  they may be facing costs of up to $32 million  in connection with a recent flurry…

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  • Robert Rex, Esq.

Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA
Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA 150 150 Robert Rex, Esq.

Oppenheimer Hit with $36M Arbitration Award   Attempt to Have It Set Aside Fails   June 2023 – Atlanta, GA  In September 2022 a FINRA arbitration panel awarded  $36 million…

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