Hurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities (4/2008-1/2016) in Hurst, Texas, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…
read moreInvestors suffering losses on oil and gas investments purchased from PTX Securities of Plano, Texas, may be able to recover damages through FINRA arbitration. PTX Securities (fka Balanced FInancial Securities)…
read morePlano Texas- April 2016 PTX Securities LLC (formerly Balanced Financial Securities) entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…
read moreGreenwood Village, Colorado According to FINRA records, Brooke A. Clements, a broker who has been registered with FIrst Financial Equity Corp, since 7/2015 , discloses that he was discharged from Merrill Lynch in…
read moreScottsdale, AZ According to FINRA records, Mark C. Quale, a broker who began working for First Financial Equity Corp. in 12/2005 discloses that he was discharged by First Financial Equity in…
read moreUPDATE March 2017- FINRA records disclose that additional customer disputes against Kirk Gill have been made since our prior posting. There are now 6 pending and 7 final customer disputes naming Gill. In February…
read moreGreenwood Village, Colorado According to FINRA records, John J. Avey, a broker who has been registered with First Financial Equity , since 1/2016 , discloses a termination and 2 prior customer disputes that…
read moreAPRIL 2018 UPDATE–See this link. May 2016-Greenwood Village, Colorado According to FINRA records, Joseph I. Yanofsky, a broker who has been registered with FIrst Financial Equity Corp, since 6/2015 , discloses a…
read moreDallas, Texas According to FINRA records, Randy G. Merrill , a broker who has been registered with FIrst Financial Equity Corp, since 7/2009 , discloses a recently resolved customer dispute The Financial Industry Regulatory Authority…
read moreMinneapolis, MN According to FINRA records, Richard J. Reynolds , a broker who has been registered with Northland Securities since 9/2002 , discloses a pending customer dispute and a prior dispute that has been settled. The…
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