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Anthony Bookman- Former Pickwick Capital Broker-Barred From Securities Industry by Regulators -Dallas, TX
Anthony Bookman- Former Pickwick Capital Broker-Barred From Securities Industry by Regulators -Dallas, TX 150 150 ER

Anthony Bookman Investigation July 2022-Dallas, TX According to publicly available records Anthony Rashad Bookman, a former broker who last worked for Pickwick Capital Partners & Seaport Global Securities,  discloses a final regulatory…

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Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX
Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX 150 150 ER

Noe Ramirez Investigation July 2022-Austin, TX According to publicly available records Noe Ramirez, former Merrill Lynch broker, discloses a final regulatory matter resulting in a permanent bar from the securities…

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Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL
Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL 150 150 ER

Shawn  Parker Investigation July 2022-Schaumburg, IL According to publicly available records Shawn Elizabeth Parker,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting in a…

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Andrew Edenbaum- Former National Securities Broker-Suspended From Securities Industry by Regulators, Discloses Termination-Boca Raton, FL
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Andrew Edenbaum Investigation July 2022-Boca Raton, FL According to publicly available records Andrew Edenbaum a currently unregistered broker who last worked for Alliance Global Partners,  discloses 2 final regulatory matters…

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Christopher Bennett- Former J.J.B.Hilliard Broker-Barred From Securities Industry by Regulators, Discloses Pending Suits Seeking 6+ Million-Louisville, KY
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Christopher Bennett Investigation July 2022-Louisville, KY According to publicly available records Christopher Bennett a currently unregistered broker who last worked for J.J.B. Hilliard, W.L. Lyons  discloses a final regulatory matter resulting in…

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Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK
Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK 150 150 ER

Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter, a pending customer dispute, 7…

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Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL
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Scott Levine Investigation July 2022-Lake Worth, FL According to publicly available records Scott H. Levine a former broker who last worked for Ascendiant Capital Markets,  discloses a final regulatory matter resulting…

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Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX
Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX 150 150 ER

Jon Scheier Investigation July 2022-Denison , TX  According to publicly available records Jon Scheier , a former broker who last worked for Edward Jones,  discloses a final regulatory matter resulting in a…

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Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX
Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX 150 150 ER

Mark Menard Investigation July 2022- Houston, TX According to available records,  Mark Menard, a broker previously with Merrill Lynch, Pierce, Fenner & Smith, who now works for Cantella & Co.,…

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Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX
Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX 150 150 ER

Robert Mooney Investigation July 2022-Forney, TX According to publicly available records Robert Wayne Mooney a currently unregistered broker who last worked for Allstate Financial Services,  discloses a final regulatory matter resulting…

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