March 2024 Update– See this for our investigation of LPL and some of their brokers. UPDATE Jan 2017– LPL Financial ordered to pay up to $3.7 million in restitution…
read moreEugene Cebron “Bron” Thompson Investigation March 2024– Wallace, NC According to publicly available records, Eugene “Bron” Thompson, a broker with Capital Investment Group, discloses several customer dispute related to GWG…
read moreKimberly Nuessmann Investigation February 2024 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc. discloses a regulatory event on her FINRA record. The…
read moreChristine Warner Investigation Feburary 2024-Mount Pleasant, TX According to publicly available records Christine Anne Warner, a Monticello Financial Group broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…
read moreFrancisco Valenzuela Investigation February 2024- Phoenix, AZ According to FINRA records, Francisco J. Valenzuela , a former broker who previously worked for Morgan Stanley , discloses 2 regulatory events, 4 prior…
read moreRobert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI
Robert David Investigation February 2024- Farmington Hills, MI According to FINRA records, Robert C. David, Jr. , a broker who previously worked for Morgan Stanley , discloses a regulatory event,…
read moreJon Ellefson & GWG L-Bond Investigation February 2024-Harker Heights, TX The FINRA records of Jonathan Eric Ellefson, an Intervest International Equities Corp. broker was recently named in a FINRA arbitration by a…
read moreGlenn E. Brandon Investigation February 2024- Birmingham, AL The FINRA records of Glenn Edward Brandon, a former broker who was last employed by BB&T Securities disclose a final regulatory matter resulting…
read moreGustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records Gustavo Miramontes, a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…
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