April 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event and a customer…
read moreMay 2019- Morristown/Johnson City , Tennessee The FINRA records of John J. Maloney III (Jack Maloney) , a stock broker who is employed by Woodbury Financial Services , disclose a pending customer dispute, 4 prior…
read moreMay 2018- Conover, N. Carolina According to FINRA records, Terry Dewayne Eskind , a stock broker who is currently employed by Edward Jones , discloses a recent settlement of a customer complaint. The Financial Industry Regulatory…
read moreApril 2018 -Jasper, Alabama According to FINRA records, Arshad Hussain , a currently unregistered stockbroker who formerly was employed by NEXT Financial Group, disclose 3 prior customer disputes, two terminations from employment and…
read moreJuly 2019 -Wagoner, OK According to FINRA records, William David Lancaster , a stockbroker who formerly was employed by Edward Jones, disclose a prior regulatory investigation, a prior customer dispute, a and…
read moreSeptember 2019-Murrieta, CA According to publicly available records Matthew J. Werthe, a stockbroker who is not currently registered and who was last employed by Raymond James Financial Services , disclose…
read moreFebruary 2018-Albuquerque, New Mexico The FINRA records of Danielle Jean McAniff, a broker currently employed by NEXT Financial Group, disclose that she was recently suspended for two months and fined…
read moreOCTOBER 2017 James V. Marino , a former stockbroker in Pompano Beach, FL, who was last employed by Edward Jones , was recently barred permanently from the securities industry by FINRA. …
read moreJune 2017-Navarre Beach, Alabama The Alabama Securities Commission announced that Judy Kay Morehead of Henry County, Alabama, turned herself in to the Henry County Jail upon an arrest warrant charging…
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