Brian Wurdermann Investigation Updated December 2023 New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets, discloses a regulatory matter resulting…
read moreLast Updated: August 2023 (Houston, TX) Otho Evans Investigation Summary Here’s what you need to know about Houston stockbroker Otho Evans: Broker Name: Otho Francis Evans, Jr Current Employer: RBC…
read moreLast Updated: August 2023 (Houston, Texas) Gene Theobald Investigation Summary Here’s what you need to know about Houston, TX, stockbroker Walter Eugene Theobald: Broker Name: Walter Eugene Theobald Current Employer: …
read moreAugust 2021- Frisco, TX According to publicly recorded records, David Ray Oakes, a financial advisor employed by Prospera Financial Services, discloses a regulatory event, and a termination from employment. The…
read moreJuly 2021- Hackensack , NJ According to publicly available records, Scott Fergang, a financial advisor who previously was employed by RBC Capital and who now works for Stifel, Nicolaus , discloses…
read moreNovember 2017-Tampa, FL A FINRA arbitration panel comprised by an all public panel of three arbitrators, ordered RBC Capital Markets and broker Bruce Cameron of Norwell, Massachusetts, to pay a former…
read moreOctober 2017-West Palm Beach, FL The FINRA records of Paul Vincent Blum , a stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…
read moreJune 2017- Hunt Valley, MD According to publicly available records John Scott Simpson (CRD#719367) , a former stockbroker who was last employed by RBC Capital Markets, discloses one regulatory event, a currently pending…
read moreDecember 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…
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