January 2024, Houston, Texas Moody Securities, LLC, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it violated FINRA rules governing…
read moreJohn Egan Investigation January 2024– Glendora, CA According to publicly available records John Kevin Egan an unregistered broker previously employed by Western International Securities, discloses 4 pending customer disputes and 3…
read moreKennister Daley Investigation September 2022- Boynton Beach, FL According to publicly available records, Kennister U. Daley, an Allstate Financial Services broker discloses settlement of a customer dispute. The Financial Industry…
read moreJason R. Jaynes Investigation January 2024-Plano, TX According to publicly available records Jason R. Jaynes , a stockbroker who was previously registered with Merrill Lynch, discloses settlement of a customer dispute which…
read moreKenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL
Kenneth New/Center State Securities/GWG L-Bond Investigation Updated December 2023 Merritt Island, FL According to publicly available records Kenneth J. New, a broker currently employed by Arete Wealth Management, discloses several…
read moreJohn Zaffarano Investigation Updated December 2023 Boca Raton, FL According to publicly available records, John Zaffarano a Newbridge Securities Corporation broker recently settled a customer dispute. The Financial Industry Regulatory…
read moreOctober 2023 – San Marcos, Texas According to publicly available records Walter L. (Leighton) Stallones , (CRD# 433344) , a stockbroker who is not currently registered and who was last employed by…
read moreLast Updated: September 2023 (North Palm Beach, FL) Douglas Armstrong Investigation Summary Here’s what you need to know about North Palm Beach, FL stockbroker Douglas Armstrong: Name: Mr. Robert Douglas…
read moreTexas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…
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