June 2020- Waltham, MA The FINRA records of Gerald Allan Eaton , a former stock broker who was last employed by Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities…
read moreJune 2020- New York, NY According to publicly available records Jovannie Aquino (CRD#4876661), a former stockbroker who last worked for Spartan Capital Securities, discloses a regulatory event, a civil event,…
read moreApril 2020- Houston, TX The FINRA records of Jesse O. McGuire, a broker previously employed by J.P. Morgan Chase Bank, disclose a regulatory event resulting in his bar from the securities…
read moreApril 2020-Dallas, TX According to publicly available records of Anthony F. Vaccaro, Jr. (CRD#3139011) , a former stockbroker who last worked for Raymond James & Associates, Inc. discloses a regulatory event…
read moreApril 2020- Westlake, TX The FINRA records of Ernie Garcia, a broker previously employed by Fidelity Brokerage Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…
read moreApril 2020- El Paso, TX The FINRA records of Miguel Angel Rabio, a broker previously employed by State Farm VP Management Corp. , disclose a regulatory event resulting in his bar from the…
read moreApril 2020-Houston, TX According to publicly available records. Sofia T. Gonzalez (CRD#6243469), a former stockbroker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated discloses 2 regulatory events, …
read moreJune 2020-Staten Island, NY According to publicly available records of Leonard “Lenny” Kinsman (CRD#2816535) , a former broker who was last registered with Wells Fargo Advisors Financial Network, discloses 5 prior…
read moreApril 2020-Dallas, TX The FINRA records of Clayton H. Wertz, a broker last employed in the securities industry by First Canterbury Securities, Inc., disclose a regulatory event resulting in his bar…
read moreApril 2020- McAllen, TX The FINRA records of Ma Rosa Linan Abrego, a broker previously employed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated disclose a regulatory event resulting in a…
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