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May 2017-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) , a stockbroker who is not currently registered with any brokerage firm discloses three currently pending customer disputes. The Financial Industry Regulatory Authority…
read moreApril 2017- Stuart, FL According to publicly available records Gerard G. Figari, (CRD#1343962) , a stockbroker who was previously registered with Investors Capital Corp. discloses 5 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…
read moreApril 2017-Irvine, CA According to publicly available records Daniel Vasquez, Sr. , (CRD#3141463) , a stockbroker who is currently not registered, but previously worked for Cetera Advisors and Investors Capital Corp , discloses two final regulatory…
read moreFebruary 2017-Mansfield, Texas According to publicly available records James C. Hayne , (CRD# 3257845) , a stockbroker who is not currently registered and who was last employed by Cetera Advisors, discloses…
read moreJanuary 2017-Columbia, South Carolina The FINRA records of Larry A. Stohs, a former stockbroker with Edward Jones disclose a termination from employment and two prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreNovember 2016-Albuquerque, NM The FINRA records of Kevin Hudak, a former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms…
read moreNovember 3, 2016-Overland Park, KS The Kansas City Star reports that VSR Financial, which has been in business since 1984, it shutting down and moving its brokers and customers to…
read moreMarch 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…
read moreDecember 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…
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