Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Roberts,a former broker who last worked for Spire Securities, discloses a final regulatory matter resulting in a…
read moreJennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX
Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell a broker employed by Ameriprise Financial Services, discloses a final customer dispute. The Financial…
read moreDusty Lynn Sternadel Investigation September 2022-Wichita Falls, TX According to publicly available records Dusty Lynn Sternadel,a former broker who last worked for Ameriprise Financial Services, discloses a final regulatory matter resulting…
read moreDavid Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz, a former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…
read moreAnthony Bookman Investigation July 2022-Dallas, TX According to publicly available records Anthony Rashad Bookman, a former broker who last worked for Pickwick Capital Partners & Seaport Global Securities, discloses a final regulatory…
read moreShawn Parker Investigation July 2022-Schaumburg, IL According to publicly available records Shawn Elizabeth Parker,a former broker who last worked for Ameriprise Financial Services, discloses a final regulatory matter resulting in a…
read moreJason Garofalo Investigation May 2022- Las Vegas, NV According to publicly available records, Jason L. Garofalo, a broker with Ameriprise Financial in Las Vegas, NV, discloses a customer complaint. The Financial Industry…
read moreJames William Dunn, Jr. Investigation March 2022- Vienna, VA The FINRA records of James William Dunn, Jr, a currently unregistered broker who was last employed by Ameriprise Financial Services, disclose 19 prior…
read moreDawn M. Collum Investigation February 2022- Kerrville, Texas According to publicly available records, Dawn M. Collum , a broker with Ameriprise Financial in Kerrville, Texas, discloses a customer complaint. The Financial Industry…
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