William Huthnance Investigation February 2023-Houston, TX The FINRA records of William Huthnance, a UBS Financial Services broker, discloses 2 past customer disputes and 2 customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreHowell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a $58K customer dispute. The Financial Industry…
read moreSteve Baaden Investigation August, 2022 – Dallas, TX The FINRA records of Steven R. Baaden, an Oppenheimer & Co. broker, disclose settlement of a recent customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreDennis Ayre Investigation April 2022-Beverly Hills, CA According to publicly available records Dennis Ayre, a former stockbroker who last worked for Hill Top Securities discloses that he has 9 prior customer complaints…
read moreNovember 2020- Beachwood, OH According to publicly available records, a Oppenheimer, broker Tom G. Thacker II, discloses a recently filed pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreOctober 2020-The Woodlands, TX According to publicly available records of Jesse Webb (CRD#2298761) , a stockbroker with Oppenheimer & Co. lnc., discloses a final regulatory event , 3 settled customer disputes…
read moreOctober 2018- Melville, NY According to publicly available records Robert Abramowitz (CRD#4457589), a stockbroker who is registered with National Securities Corp. disclose a prior customer dispute and 2 pending customer disputes..…
read moreFebruary 2020- Boca Raton, FL According to publicly available records Michael B. Ralby (CRD#1301072), a stockbroker who formerly was registered with Morgan Stanley Smith Barney, disclose a regulatory event, 3…
read moreMarch 2019-St. Louis, MO The FINRA records of Demos Argyros (Demostenes Argyropoulos), a stock broker who is currently employed by Oppenheimer and Co. , disclose 4 prior customer disputes and one currently pending matter. The…
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