September 2021- Largo, FL According to publicly available records, Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…
read moreAugust 2021 -Mountain View, CA According to publicly recorded records, Joseph D. Olheiser, a financial advisor currenlty employed by Cabot Lodge Securities, discloses a regulatory event, a bankruptcy and a…
read moreAugust 2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered and who was last employed by Moloney Securities, Co., Inc. ,…
read moreAugust 2021 – Indianapolis, IN According to publicly available records of Mark William Just (CRD#1138738) , a broker who was last employed with Triad Advisors, Inc., discloses a regulatory event, a…
read moreJuly 2021-St. Augustine, FL According to publicly available records, formerly a D.H. Hill Securities financial advisor Charles Stevens, discloses a regulatory event under review, 2 settled customer disputes and 1 pending…
read moreRichard Demetriou Investigation Former Titan Securities Financial Advisor June 2021 – Addison, TX According to publicly available records, former Titan Securities, financial advisor Richard Demetriou, has been barred from the securities…
read moreJune 2020- Dallas, TX The FINRA records of Daniel W. Staudacher, a broker currently registered with Worth Financial Group, disclose 2 regulatory events, a customer dispute and 6 pending IRS liens.…
read moreJune 2020 -Abilene, TX The FINRA records of Dale Franklin Johnson , a stockbroker registered with Stifel, Nicolaus & Company , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreMay 2020-Sacramento, CA According to publicly available records of Narinder K. Singh (aka Narinder Dutt) (CRD#3100308) , a former stockbroker who last worked for Farmers Financial Solutions, discloses a final customer…
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