Last Updated: October 2023 (Albuquerque, New Mexico) Mark Richards Investigation Summary Here’s what you need to know about Albuquerque, NM , stockbroker Mark Richards: Name: Mr. Mark Wilkinson Richards Current…
read moreLast Updated: October 2023 (Spicewood, Texas ) Steve Kwan Investigation Summary Here’s what you need to know about Austin, TX, stockbroker Stephen Kwan: Name: Mr. Stephen Yauman Kwan Current Employer:…
read moreLast Updated: October 2023 (Vancouver, WA) Jeffrey Dixson Investigation Summary Here’s what you need to know about Vancouver, WA, stockbroker Jeffrey Raymond Dixson: Name: Mr. Jeffrey Raymond Dixson Current Employer:…
read moreLast Updated: December 2023 (Northbrook, Illinois) David Geake Investigation Summary Here’s what you need to know about Northbrook, IL, stockbroker David Geake: Name: Mr. David Richard Geake Current Employer: FINRA…
read moreTexas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…
read moreDimitry Tikhonov Investigation Recommended GPB, Behringer Harvard REIT, Adageo Petrobonds June 2023- Torrance, CA The FINRA records of Dimitry Tikhonov, a Madison Avenue Securities broker, disclose a prior customer dispute and pending customer…
read moreNoel Vincent Investigation-June 2021–Houston, Texas According to publicly available records Noel Ray Vincent, (CRD# 1370987) , a stockbroker who is not currently registered , who formerly worked for Madison Avenue Securities and…
read moreApril 2020 -Addison, TX The FINRA records of Jon M. Reppert , a former stockbroker who was previously registered with Madison Avenue Securities , disclose an $18.3 million pending customer dispute. The Financial Industry…
read moreFebruary 2020 – Sun Lakes, AZ The FINRA records of Steven M. Netzel , a stockbroker who is currently not registered and who previously was employed by Kalos Capital , disclose a currently pending…
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