April 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 2 pending…
read moreFebruary 2017-Delray Beach, FL According to publicly available records Jeffrey J. Drapala , (CRD# 1674124) , a stockbroker who is currently employed by Raymond James Financial Services discloses a pending customer dispute.…
read moreAugust 2016-New Braunfels, Texas The FINRA records of James E. Mahan, a former stockbroker who most recently worked for Raymond James Financial Services disclose a recent regulatory matter resulting in his permanent…
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…
read moreAugust 2016-The Villages, Florida The FINRA records of J.J. Heaton , a stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Heaton’s prior employer.…
read moreAugust 2016-The Villages, Florida The FINRA records of Debra R. Lambert , a stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Lambert’s…
read moreSeptember 2019-Macon, Georgia According to FINRA records, John Nelson Crook , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment, a currently pending customer dispute and a prior finalized…
read moreAustin, Texas According to FINRA records, Rhonda Janeen Matthews (aka Rhonda Allen) , a former stockbroker who most recently worked for Prospera Financial Services , discloses a regulatory event, a termination and 2 outstanding…
read moreGreenwood, CO According to FINRA records, Michael M. Hurtgen , a stock broker currently employed by Girard Securities , discloses a termination from prior employment. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…
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