April 2018-Houston, Texas The Securities and Exchange Commission (SEC) charged the following individuals and their companies with operating a $2.4 million Ponzi scheme targeting elderly retirees: Clifton E. Stanley of…
read moreMarch 2018-Columbiana, Alabama The Alabaster Reporter reports that the Alabaster Police Department is warning elderly local residents to beware of a scam targeting senior citizens. According to the police a…
read moreMay 2020- San Antonio, TX According to publicly available records Barrett Oliver Schultz (aka Barrett Creed) , (CRD# 2741114) , a stockbroker who is employed by McNally Financial Services, discloses two recently settled…
read moreMay 2019- Delray Beach, FL According to publicly available records Christopher Robert Hickman. (CRD#3267599) , a stockbroker who is not currently registered, and who last was employed by Cetera Advisors , disclose a regulatory event and seven…
read moreFebruary 2018-Woodcliff Lake, NY & Delray Beach, FL According to The Ridgewood Blog and other local press, Jeffrey Palish, DOB 2/23/1953 of 22 Oakwood Drive, Woodcliff Lake, New Jersey was arrested…
read moreIf you have tried to redeem investments you made in real estate investment trusts (REITs) or limited partnerships (LPs) recently you may have received the bad news that the redemption…
read moreFebruary 2018-Jacksonville, FL According to publicly available records Melvin E. Case , (CRD# 2393464) , a former stockbroker who last worked for LPL Financial LLC, discloses that he was recently sanctioned by securities regulators…
read moreJimmy Moscoso-Former Lincoln Financial Advisor Broker-Barred From Securities Industry-Boca Raton, FL
February 2018-Boca Raton, FL According to publicly available records Jimmy Oswald Moscoso , (CRD# 2912265) , a former stockbroker who last worked for Lincoln Financial Advisors, discloses that he was recently barred from the…
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…
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