Michael J. May Investigation April 2022- Mineola, NY According to publicly available records, Michael James May, a broker who formerly worked for Joseph Stone Capital discloses a regulatory event and a…
read moreSteven Musielski Investigation April 2022- Anaheim, CA The FINRA records of Steven D. Musielski , a former financial advisor who was last employed by Cambria Capital, disclose a regulatory event, a…
read morePeter J. Klein Investigation April 2022- Melville, NY According to publicly available records, Peter Klein, a broker with Hightower Securities in Melville, NY, discloses 3 pending customer complaints. The Financial Industry Regulatory…
read moreJeffrey Kiesnoski Investigation April 2022- Livonia, MI The FINRA records of Jeffrey A. Kiesnoski, a Concorde Investment Services broker, disclose two prior customer disputes and two pending customer disputes. The Financial Industry…
read moreDavid Melilli Investigation April 2022- Moorestown, NJ The FINRA records of David J. Melilli , a former financial advisor who was last employed by Cambridge Investment Research and Sagepoint Financial, Inc.,…
read moreBrett Scott Ellen Investigation Updated October 2023 – Las Vegas, NV According to publicly available records Brett S. Ellen, an unregistered broker who was most recently employed by Metric Financial…
read moreManuel Collazo Investigation April 2022- San Juan, Puerto Rico The FINRA records of Manuel Diaz Collazo, a broker with Insigneo Securities who formerly worked for Santander Securities, discloses 13 prior customer…
read moreDustin K. Ward Investigation April 2022- St. Louis, MO According to publicly available records, Dustin K. Ward, a Woodbury Financial Services broker, discloses 2 pending customer disputes. The Financial Industry…
read moreCharles (Chuck) Arthur Cox Investigation March 2022- Federal Way, WA According to publicly available records Chuck Cox , a stockbroker registered with Raymond James Financial Services Advisors, Inc. discloses a…
read moreJoseph M. Giordano and Roberto Birardi / Aegis Capital Investigation March 2022-Greenwood, SC According to publicly available records Joseph M. Giordano and Robert Birardi, stockbrokers who are currently employed by…
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