• ER

Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY
Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY 150 150 ER

Amit Bhatia Investigation March 2023-New York NY According to publicly available records Amit Kumar Bhatia , a former broker who last worked for Raymond James,  discloses a final regulatory matter. The…

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  • ER

Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY
Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY 150 150 ER

Christopher Blumer Investigation March 2023- New York, NY The FINRA records of Michael Christopher Blumer, a former SW Financial broker who currently works for Spartan Capital Securities,  disclose two pending and two prior…

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  • ER

Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN
Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN 150 150 ER

Shad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of  Shad Ketcher,  a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • ER

Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA
Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA 150 150 ER

Robert D’Agosta Investigation March 2023- Bethlehem, PA The FINRA records of   Robert D’Agosta, an IBN Financial Services, Inc. broker,  disclose a a regulatory event, an arbitration award and 3 prior customer disputes.…

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  • ER

Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ
Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ 150 150 ER

Janie Garza-Clark Investigation March 2023-Scottsdale, AZ  According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management,  discloses a final regulatory matter resulting in…

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  • ER

Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX
Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX 150 150 ER

Monica Laguna Investigation March 2023-Coppell, TX  According to publicly available records,  Monica A. Laguna a former broker who last worked for JP Morgan,  discloses a final regulatory matter resulting in a…

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  • Robert Rex, Esq.

John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA
John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA 150 150 Robert Rex, Esq.

Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million   According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…

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  • ER

Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, TX
Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, TX 150 150 ER

Justin Anderson Investigation March  2023- Austin, TX According to publicly available records Justin A. Anderson, a former broker who last worked for CUSO Financial Services,  discloses a final regulatory matter resulting…

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  • ER

Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX
Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX 150 150 ER

Jeff Graves Investigation March 2023- Addison, TX According to publicly available records Jeffrey Scott Graves, a broker currently employed by  Cetera Advisors Networks Inc.,  discloses a regulatory event. The Financial Industry Regulatory…

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  • ER

Stephen Wenske- Former Edward Jones Broker- Discloses a Regulatory Event and a Termination from Employment-Houston, TX
Stephen Wenske- Former Edward Jones Broker- Discloses a Regulatory Event and a Termination from Employment-Houston, TX 150 150 ER

Stephen Wenske Investigation March  2023- Roanoke, TX According to publicly available records Stephen Wenske, a broker who last worked for Edward Jones,  discloses a final regulatory event that resulted in his…

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