July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in Mitchelfield , NY, and three of their brokers…
read moreSeptember 2017 – Daphne, AL According to publicly available records Damian M. Bell (CRD#2348521) , a stockbroker who was previously employed by WFG (Williams Financial Group) Investments, Inc. , disclose 2 pending and 5…
read moreJuly 2017- Castle Rock, CO According to publicly available records James K. Pheney (CRD#1272932) , a stockbroker who currently is employed by WFG (Williams Financial Group) Investments, Inc. , disclose a pending customer dispute.…
read moreJuly 2017- Deerfield, IL According to publicly available records Edward Alan Horwitz (CRD#2154232) , a stockbroker currently registered with Western International Securities, Inc., discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreJune 2017- Austin, TX According to publicly available records John J. Gorman IV (CRD#1070636) , a stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events, 2…
read moreJUNE 2017- Charlotte, NC According to publicly available records Matthew S. Kocsis, (CRD#4787057) , a stockbroker who is registered with Cambridge Investment Research discloses 2 prior customer disputes. The Financial Industry Regulatory…
read moreJune 2017 – Houston, TX According to publicly available records James A. Franklin (CRD#4799613) , a stockbroker who currently is employed by 1st Global Capital Corp. , discloses a pending customer dispute. The Financial…
read moreMay 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below) from…
read moreMay 2017- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreJune 2017-Somonauk, IL According to publicly available records Michael A. Jump (CRD#1146669) , a stockbroker currently registered with Chelsea Financial Services discloses 2 regulatory events, four customer disputes and a termination. The Financial Industry Regulatory…
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