Last Updated: October 2023 (Charlotte, North Carolina) Robert Luley, Jr. Investigation Summary Here’s what you need to know about Charlotte, NC, stockbroker Robert Luley, Jr.: Name: Mr. Robert Leo Luley,…
read moreLast Updated: October 2023 (Gig Harbor, WA) Gary Imel Investigation Summary Here’s what you need to know about Gig Harbor, WA, stockbroker Gary Imel: Name: Mr. Gary Lee Imel Current…
read moreLast Updated: October 2023 (Spicewood, Texas ) Steve Kwan Investigation Summary Here’s what you need to know about Austin, TX, stockbroker Stephen Kwan: Name: Mr. Stephen Yauman Kwan Current Employer:…
read moreLast Updated: October 2023 (Vancouver, WA) Jeffrey Dixson Investigation Summary Here’s what you need to know about Vancouver, WA, stockbroker Jeffrey Raymond Dixson: Name: Mr. Jeffrey Raymond Dixson Current Employer:…
read moreJune 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…
read moreApril 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…
read moreJack “JJ” Jones Investigation May 2022- Houston, TX According to publicly available records, Jack Lewis “JJ” Jones, a Triad Advisors broker discloses a regulatory sanction, 2 prior customer disputes and…
read moreJoseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop, a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital, disclose…
read moreJoseph Michaletz Investigation November 2021-Mankato, MN According to publicly available records Joseph G. Michaletz , a stockbroker who is currently registered with DAI Securities, disclose 3 currently pending customer disputes…
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