July 2021– Louisville, KY The FINRA records of Donald Stephen Woods, a former stockbroker who was last employed by Thurston Springer Financial , disclose a final regulatory event, 11 settled customer disputes and…
read moreNovember 2020- Pittsburg, PA According to publicly available records Keith Thomas Lohm, Sr. (CRD#1516728), a former stockbroker who last worked for Citizens Securities, Inc., discloses a termination from employment. The…
read moreNovember 2020- Louisville, KY According to publicly available records Michael Mountjoy (CRD#4421573), an unregistered broker who last worked for LPL Financial, discloses a regulatory event and a termination from employment.…
read moreNovember 2020- Baton Rouge, LA According to publicly available records, former LPL Financial advisor Patrick Coogan, has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…
read moreJune 2020- Norwalk, CT According to publicly available records, former LPL Financial financial advisor James T. Booth, has been barred from the securities industry by FINRA. He discloses 3 regulatory…
read moreJune 2020-Overland Park, KS According to publicly available records of Kathryn Renee Charpie (CRD#840016) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event , a customer…
read moreApril 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event and a customer…
read moreJanuary 2020-Des Peres, MO According to publicly available records of Joseph Alan Likens (CRD#3084903) , a former stockbroker who previously worked for LPL FInancial discloses 2 regulatory events, 15 customer disputes,…
read moreJanuary 2020-McAllen & Brownsville, TX According to publicly available records Yvonne L. Silguero (CRD#4895654) , a stockbroker who works for LPL FInancial discloses 2 pending customer disputes. The Financial Industry Regulatory…
read moreMay 2019-Hot Springs Village, AR According to publicly available records Renee Valerie Altamirano (CRD#5644156) , a stockbroker who is currently not registered, discloses a regulatory event and a termination from employment.…
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