• ER

Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY
Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY 150 150 ER

Sean Storm Boswick Investigation   June  2023-New York, NY The FINRA records of Sean “Storm” Boswick,  a former stock broker who was last employed in the industry by Brock Securities , disclose…

read more
  • ER

Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas
Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas 150 150 ER

Crescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent Securities Group (CRD 114993) was censured and fined $30,000 for…

read more
  • ER

Luis Paredes Calvo- Citi International Financial / Insigneo Broker- Discloses Pending $5M Customer Suit-San Juan, PR
Luis Paredes Calvo- Citi International Financial / Insigneo Broker- Discloses Pending $5M Customer Suit-San Juan, PR 150 150 ER

Luis Paredes Calvo Investigation June  2023-San Juan, PR According to publicly available records Luis Paredes Calvo,  Insigneo Services (aka Citi International Financial Services)  broker, discloses a pending $5 million customer…

read more
  • ER

Victor A. Rigoni- Former Summit Brokerage Services/ Cetera Broker-Discloses FINRA Suspension, Customer Disputes, Tax Liens and Termination From Employment-Lake Forest, IL
Victor A. Rigoni- Former Summit Brokerage Services/ Cetera Broker-Discloses FINRA Suspension, Customer Disputes, Tax Liens and Termination From Employment-Lake Forest, IL 150 150 ER

Victor A. Rigoni III Investigation June 2023-Lake Forest, IL The FINRA records of  Victor A. Rigoni III ,  a broker previously with Summit Brokerage Services,  disclose a FINRA suspension, 5 prior customer…

read more
  • ER

Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA
Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA 150 150 ER

Dimitry Tikhonov Investigation Recommended GPB, Behringer Harvard REIT, Adageo Petrobonds June 2023- Torrance, CA The FINRA records of Dimitry Tikhonov, a Madison Avenue Securities broker, disclose a prior customer dispute and pending customer…

read more
  • ER

Rex Securities Law Investment Fraud Attorney Investigates Kevin Houser formerly with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates Kevin Houser formerly with LPL Financial 150 150 ER

Last Updated: October 2023 (Center Valley, PA) Kevin Houser Investigation Summary Here’s what you need to know about Center Valley, PA, stockbroker Kevin Houser: Name: Mr. Kevin Douglas Houser Current…

read more
  • ER

Rex Securities Law Investment Fraud Attorney Investigates Robert Alan Eisenberg, formerly with Lincoln Financial Advisors Corporation
Rex Securities Law Investment Fraud Attorney Investigates Robert Alan Eisenberg, formerly with Lincoln Financial Advisors Corporation 150 150 ER

June 2023- Vienna, VA Investigation Summary: Robert Alan Eisenberg Have you suffered financial losses due to Vienna, VA stockbroker Robert Alan Eisenberg? Below is the latest information we have on…

read more
  • ER

Steven Martin Barnett- Former LPL Broker-Discloses Regulatory Event and Customer Dispute- Jacksonville, FL
Steven Martin Barnett- Former LPL Broker-Discloses Regulatory Event and Customer Dispute- Jacksonville, FL 150 150 ER

Steven Martin Barnett Investigation June 2023- Jacksonville, FL The FINRA records of  Stephen Martin Barnett ,   a  stockbroker who was previously employed by  LPL Financial  disclose a regulatory matter, a  customer…

read more
  • ER

Valentino Michael Scott- Centaurus Financial Broker-Discloses Award and Pending Customer Disputes- West Hills, CA
Valentino Michael Scott- Centaurus Financial Broker-Discloses Award and Pending Customer Disputes- West Hills, CA 150 150 ER

Valentino Michael Scott Investigation June 2023- West Hills, CA The FINRA records of  Valentino Michael Scott, a  Centaurus Financial, Inc. broker, disclose  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

read more
  • ER

Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL
Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL 150 150 ER

Clinton Byrd Investigation June  2023-Tallahassee, FL According to publicly available records Clinton Byrd, a broker previous employed by Cantella & Co., discloses a regulatory suspension, settlement of a  customer dispute…

read more
Enter your
text here

You cannot copy content of this page