January 2024 – Clearwater, FL According to publicly available records William B. Gordon (CRD# 2127800) , a registered stockbroker currently employed by Kovack Securities disclose a prior regulatory event and 12 prior…
read moreIvan Shore Investigation January 2024- New York, NY According to his FINRA record Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…
read moreJohn Egan Investigation January 2024– Glendora, CA According to publicly available records John Kevin Egan an unregistered broker previously employed by Western International Securities, discloses 4 pending customer disputes and 3…
read moreKennister Daley Investigation September 2022- Boynton Beach, FL According to publicly available records, Kennister U. Daley, an Allstate Financial Services broker discloses settlement of a customer dispute. The Financial Industry…
read moreJason R. Jaynes Investigation January 2024-Plano, TX According to publicly available records Jason R. Jaynes , a stockbroker who was previously registered with Merrill Lynch, discloses settlement of a customer dispute which…
read moreSean Casterline Investigation Updated December 2023 Maitland, FL According to publicly available records Sean Casterline a stockbroker who was suspended for 18 months (1/2022-7/2023) and who last worked for Delta Securities Company …
read moreRicky Alan Mantei Investigation Updated December 2023 Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured ProductsLexington, SC The FINRA records of Ricky Alan Mantei, currently employed…
read moreKenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL
Kenneth New/Center State Securities/GWG L-Bond Investigation Updated December 2023 Merritt Island, FL According to publicly available records Kenneth J. New, a broker currently employed by Arete Wealth Management, discloses several…
read moreBrian Wurdermann Investigation Updated December 2023 New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets, discloses a regulatory matter resulting…
read moreKirk Badii Investigation December 2023 update Southlake, TX The FINRA records of Kirk Badii, a stockbroker who previously worked for UBS Financial Services , disclose setlement of a customer dispute and 2 terminations from…
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