Travis Eiland/ Avantax Wealth Management Investigation February 2024-Baytown, TX According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest,…
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 moreLast Updated: December 2023 (Lubbock, Texas) Brady Collier Investigation Summary Here’s what you need to know about Lubbock, Texas, resident Brady Collier: Name: Mr. Brady Keith Collier Aliases: Brady Collier…
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 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 moreLast Updated: November 2023 (Sarasota, FL) Marc Korsch Investigation Summary Here’s what you need to know about Sarasota, Florida, stockbroker Marc Korsch: Name: Mr. Marc Frederick Korsch Current Employer: Barred…
read moreSeptember 2023- Dallas, Texas According to publicly available records Douglas L. Hodges , (CRD# 4253217) , a stockbroker who is not currently registered as a stockbroker and who was last employed…
read moreJohn Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL
John Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services , discloses a final regulatory matter resulting in…
read moreRonald Diaz Investigation June 2023-Tuscon, AZ The FINRA records of Ronald Diaz , a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in…
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