June 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that they may be facing costs of up to $32 million in connection with a recent flurry…
read moreLuis 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 moreGina Rea Kidd Investigation Misrepresented Insurance Policy Benefits June 2023-Bedford, VA According to publicly available records Gina Rea Kidd a currently unregistered broker who last worked for Allstate Financial Services, discloses…
read moreSteven 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 moreClinton 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 moreJohn “JC” Carroll Investigation June 2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by Vanderbilt Securities, discloses a final regulatory matter…
read moreKenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…
read moreChris Arnold Investigation June 2023-Houston, TX According to publicly available records Chris Arnold a former broker who last worked for USCA Securities, discloses a regulatory matter resulting in a permanent bar…
read moreStifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…
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