Peter 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 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 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 moreMargaret Suite-Arnold Investigation November 2021-China Grove, NC According to FINRA records Margaret Suite-Arnold, a financial advisor employed as a registered broker by FSC Securities Corporation discloses a pending customer dispute.…
read moreDavid Monckton Investigation March 2022-Myrtle Beach, S. Carolina According to publicly available records David Monckton , a stockbroker who was previously registered with Voya Financial Advisors, disclose a currently pending customer disputes…
read moreAugust 2021 Did you invest in Lightstone Value Plus REIT III ? Did you Suffer Losses? Lightstone Value Plus REIT III was sold to investors with the promise of a…
read moreJuly 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…
read moreFebruary 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121) , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…
read moreApril 2021 – New York According to publicly available records, former Laidlaw & Company financial advisor Kevin R. Wilson discloses 7 pending customer disputes and 4 prior customer disputes, all…
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