February 2019 -Ft. Lauderdale, Florida We have recently submitted a FINRA arbitration claim against Raymond James & Associates on behalf of a retired couple from Ft. Pierce, FL, who are …
read moreJune 2017-Navarre Beach, Alabama The Alabama Securities Commission announced that Judy Kay Morehead of Henry County, Alabama, turned herself in to the Henry County Jail upon an arrest warrant charging…
read moreAlpharetta, Georgia AUGUST 2017 UPDATE-The Securities and Exchange Commission (SEC) charged Christopher S. Laws and three other Atlanta area brokers with fraudulently inducing federal employees to roll over holdings in…
read moreJune 2017- Arlington, Texas According to publicly available records Charles R. Elhoff, Jr. (CRD#76936) , a stockbroker who currently is employed by LPL Financial, discloses a currently pending customer dispute and a prior…
read moreMay 2017-Angleton, TX The FINRA records of RIcky R. Moore, a stockbroker who is employed by Sagepoint Financial disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…
read moreApril 2017-Dallas, Texas The FINRA records of Marcos Yanez , a former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…
read moreApril 2017 – Houston, TX According to publicly available records Nghi Thanh Ho, (CRD#2327672) , a stockbroker who is currently registered with IMS Securities discloses one pending customer dispute and a separation from employment. The Financial Industry…
read moreMarch 2017-Pompano Beach, FL According to publicly available records Leon Paul Rehak , (CRD# 2331058) , a stockbroker who presently works for LPL Financial, discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreDecember 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…
read moreNovember 2016-Mesa, AZ The FINRA records of Dominic T. DeBruin, a former stockbroker with LPL Financial, disclose that he has been permanently barred from acting as a broker or otherwise associating with…
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