David Shane Simmons Investigation April 2024-Jefferson, NC UPDATE: On April 25, 2024 the U.S. Department of Justice convicted two tax attorneys and former broker David Shane Simmons of conspiring to…
read moreApril 2024- St. Louis, MO The FINRA records of Sean Aaron Brady , a former stock broker who is not currently registered and who was last employed by First Allied Securities , disclose that he was…
read moreMark Williams Investigation April 2024-Carmel by the Sea, CA According to publicly available records Mark John Williams , a former Centaurus Financial Inc., broker who now works for Kingswood Capital…
read moreAndrew Keefer Investigation Updated April 2024 Orlando, FL According to publicly available records Andrew J. Keefer , a broker with Independent Financial Partners/IFP Securities, discloses a $500,000 customer dispute. The Financial Industry…
read moreBob Boschke Investigation April 2024- St. Germain, WI The FINRA records of Robert “Bob” Boschke, a stockbroker previously employed by CFD Investments, Inc. and LPL Financial disclose two regulatory actions and 3…
read moreBruce Amman Investigation April 2024-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked for LPL Financial, discloses a final regulatory matter resulting in a one…
read moreScott Bremus Investigation April 2024- Dacula, GA According to publicly available records Scott Bremus, a broker previously registered with LPL Financial discloses 2 regulatory events, 2 final customer disputes and…
read moreRobert Alvarez Investigaton April 2024- Metairie, LA According to publicly available records, Robert Alvarez, a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute,…
read moreApril 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order suspending Jason N. Anderson,…
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