Patrick L. Brown Investigation October 2021-Montgomery, AL According to publicly available records Patrick L. Brown , a stockbroker who was previously registered with Merrill Lynch, discloses the recent resolution of a customer…
read moreNEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…
read moreThomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL
Thomas Stratton Investigation September 2021 – Melbourne, FL According to publicly attained records, Thomas Ward Stratton, a stockbroker who was last employed by World Choice Securities, discloses a prior regulatory matter…
read moreSeptember 2021 – Los Angeles, CA According to publicly available records William S. Calvert, a broker with UBS Financial discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreAugust 2021 According to publicly available records David Alan Levine (CRD#4895654) , a former stockbroker who last worked for UBS Financial discloses 2 prior regulatory events, 2 prior customer disputes, a…
read moreJuly 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for David Lerner Associates, discloses a regulatory resulting in a suspension and fine…
read moreJuly 2021-NYC Brokerage firm Joseph Gunnar & Co. was founded in 1997 and is headquartered in New York City. According to their website they have 250 financial consultants with eight…
read moreNovember 2019 – Frederick, MD The FINRA records of Bradley Mascho , a currently unregistered stockbroker who was last employed by Western International Securities, discloses 2 regulatory events , a criminal event, a civil event,…
read moreSeptember 2019 – Hillside, IL The FINRA records of Jack David Stone , a former stockbroker who was last employed by Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…
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