July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) , a stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…
read moreDecember 2016-Hunt Valley, MD The FINRA records of John Scott Simpson, a stockbroker who formerly worked for RBC Capital Markets, was permanently barred from acting as a broker or otherwise associating with firms that…
read moreFlint, Michigan According to FINRA records, Michael J. Hebner, a stockbroker who currently works for IFS Securities , discloses a pending customer dispute, four prior final customer disputes and a termination. The Financial Industry Regulatory…
read moreBeachwood, Ohio MAY 2017 UPDATE-In 4/2017 a FINRA arbitration panel in Cleveland, OH, awarded a couple over $1 million in FINRA Case #16-0575, Holmes v Wunderlich Securities and Ralph DeRose.…
read morePlano, Texas According to FINRA records, Charles L. Evans , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment and one final regulatory event. The Financial Industry Regulatory…
read moreNovember 2017-South Florida We are investigating former RBC Capital Markets/ Janney Montgomery Scott broker Lisa J Lowi of West Palm Beach, Florida. According to her official FINRA record, Lowi was recently barred from the…
read moreWe are investigating former RBC Capital Markets broker Paul V. Blum of West Palm Beach, Florida. According to his official FINRA record, Blum was employed by RBC Capital Markets from…
read moreJune 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…
read moreApril 23, 2015 RBC Capital Markets , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2008 through 2012 the firm…
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