Daniel Pita-Former NYLife Securities Broker-Barred From Securities Industry by Regulators – Sunrise, FL

Daniel Pita-Former NYLife Securities Broker-Barred From Securities Industry by Regulators – Sunrise, FL 150 150 ER

Daniel Pita Investigation April 2023-Sunrise, FL According to publicly available records Daniel Pita , a former broker who last worked for NYLife Securities,  discloses a final regulatory matter resulting in a…

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Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA 150 150 ER

Donald Kowalsky Investigation April 2023- Atlanta, GA  The FINRA records of  Donald Kowalsky ,   a Cambridge Investment Research, Inc. broker discloses  3 prior customer disputes and a pending customer dispute. The…

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Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN

Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN 150 150 Robert Rex, Esq.

Jon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne )  ,a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…

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Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX

Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX 150 150 Robert Rex, Esq.

Fraudulent Artificial Intelligence Investment Scheme Target of Texas Securities Regulator Austin, TX-April 2023 The Texas State Securities Board (TSSB) issued an emergency Cease and Desist Order against Bucharest, Romania based…

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Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA

Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 Robert Rex, Esq.

April 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that  they may be facing costs of up to $32 million  in connection with a recent flurry…

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Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY

Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY 150 150 ER

Wade Theo Papas Investigation April 2023-New York, NY According to publicly available records Wade Theo Papas, a former National Securities Corporation broker discloses 2 pending customer disputes. The Financial Industry Regulatory…

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Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD

Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD 150 150 ER

Christopher Gordon Investigation April 2023-Annapolis, MD According to publicly available records Christopher J. Gordon,a  broker who formerly worked with Cambridge Investment Research, but now is with Centaurus Financial, discloses 4 pending customer…

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Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA

Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA 150 150 ER

Heath Goldstein Investigation   April 2023-Clarks Summit, PA According to publicly available records Heath Gary Goldstein,  a broker employed by Western International Securities discloses $821,209 in final customer disputes and multiple pending customer…

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Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY

Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY 150 150 ER

Nickolay Kukukov Investigation April 2023-New York NY According to publicly available records Nickolay Kukukov , a former broker who last worked for Paulson Investment Company,  discloses a final regulatory matter a…

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Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV

Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV 150 150 ER

Christopher Passero Investigation March 2023-Hurricane, WV According to publicly available records Christopher John Passero,  a Money Concepts Capital Corp. broker discloses a regulatory event, prior customer dispute and a pending…

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