The FINRA records of Anthony J. Verzi , a stockbroker who formerly was employed by Morgan Stanley disclose a final regulatory event and a pending customer dispute, both of which relate to the…
read moreMay 2017-Las Cruces, NM The FINRA records of Jeffrey R. Wilson , a stockbroker who is currently registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…
read moreMay 2017-Southlake, TX The FINRA records of Patrick D. Combs , a stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…
read moreMay 2017-Hauppauge, NY According to publicly available records Vincent P. Afflixio, Jr. , (CRD#1043147 ) , a stockbroker who is currently registered with Morgan Stanley discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreApril 2019-Tucson, AZ We recently filed an arbitration claim with FINRA on behalf of an Arizona couple who allege that Kirk Gill over concentrated their retirement accounts with energy stocks and made…
read moreApril 2017-El Paso, Texas The FINRA records of Richard T. Lucker , a stockbroker who is currently employed by Wells Fargo Clearing Services disclose a pending dispute in which a customer seeks damages in excess of…
read moreSEPTEMBER 2018 The FINRA records of Rick A. Davidson, a stockbroker who is currently employed by National Securities Corporation disclose 5 prior customer disputes that that are final and a separation from employment after allegations. The…
read moreJANUARY 2020 UPDATE–Charles Lawrence barred from industry by FINRA for exploitation of elderly customer. See this for more information. September 2016-Palm Harbor, Florida The FINRA records of Charles J. Lawrence, a stockbroker who…
read moreAugust 2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel , a stock broker who is currently employed by Oppenheimer & Co. , disclose five prior customer disputes and and one financial event. The Financial Industry Regulatory…
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