Robert Halldin Investigation April 2022 – Newington, CT According to publicly obtained records, Robert Halldin stockbroker who was last employed by American Portfolio Financial Services, Inc., discloses a prior regulatory matter,…
read moreRichard “Chuck” Riggenbach Investigation April 2022- Bloomfield, IA According to publicly available records Richard “Chuck” Riggenbach, a broker previously registered with Woodbury Financial Services, Inc. discloses a pending customer dispute.…
read moreRichard “Rick” Whalen Investigation April 2022- Phoenix, AZ According to publicly available records, Richard J. Whalen, a UBS Financial Services, Inc., broker discloses a customer dispute. The Financial Industry Regulatory…
read moreGlennon Cole Investigaton April 2022- Manchester, MO According to publicly available records, Glennon J. Cole, a currently unregistered financial advisor who previously was employed by Moloney Securities, Co., Inc. discloses prior…
read moreRobert MacNamee Investigaton April 2022- Red Bank, NJ According to publicly available records, Robert P. MacNamee, a former Aegis Capital broker discloses customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreDavid Bibo Investigation April 2022- Pasadena, CA According to publicly available records David O. Bibo, a broker with Western International Securities broker discloses 2 prior and 2 pending customer disputes and…
read moreJoffre Salazar Investigaton April 2022- Staten Island, NY According to publicly available records, Joffre Salazar, a currently unregistered financial advisor who previously was employed by LPL Financial discloses a regulatory…
read moreRussell Green Investigation April 2022- Syosett, NY According to publicly available records Russell P. Green, a broker with Cabot Lodge Securities discloses 5 prior customer disputes. The Financial Industry Regulatory Authority…
read moreAndrew “Andy” Grant Investigaton November 2021- Melville, NY According to publicly available records, Andrew “Andy” Justin Grant, a broker with Laidlaw & Company discloses a regulatory event. The Financial Industry Regulatory…
read moreJames A. Seijas Investigation April 2022- Bloomington, MN The FINRA records of James A. Seijas , a former financial advisor who was last employed by Wells Fargo Clearing Services, disclose a…
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