Juan Ceja Investigation May 2022 – Medford, OR According to publicly available records, Juan Manuel Ceja, a former stockbroker who was last employed by PFS Investments Inc., discloses a prior…
read moreTyler Rigsbee Investigation May 2022 – Sacramento, CA According to publicly attained records, Tyler Michael Rigsbee, a former stockbroker who was last employed by Wells Fargo Clearing Services, discloses a…
read moreOscar Jackson III Investigation April 2022 – Wichita Falls, Texas According to publicly obtained records, Oscar “Buddy” Jackson III, a former registered investment adviser, who was last employed by Leo Wealth LLC, disclose a prior…
read moreRobert Halldin Investigation April 2022 – Newington, CT According to publicly obtained records, Robert Halldin stockbroker who was last employed by American Portfolio Financial Services, Inc., discloses a prior regulatory matter,…
read moreJan E. Haynes Investigation March 2022- La Jolla, CA The FINRA records of Jan Earl Haynes, a stock broker who is currently suspended by FINRA and who was last employed by Centaurus Financial,…
read moreMichael “Mike” Conte Investigation December 2021- Coral Springs, FL According to publicly available records, Michael “Mike” James Conte a broker previously employed with Fusion Analytics Securities discloses a prior regulatory event,…
read moreSanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of Sanders L. Spangler , a former stockbroker who was once employed by LPL Financial disclose a regulatory matter, 6 prior customer disputes…
read moreBryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records, Bryant E. Caveness, a former broker who was last employed by Ameriprise Financial Services, discloses a recent regulatory matter, 3…
read moreJoseph Alhadeff Investigation August 2021- New York, NY According to publicly available records, Joseph V. Alhadeff a broker previously employed with National Securities Corporation discloses a prior regulatory event and a…
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