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Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA
Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA 150 150 ER

Clara Tang Investigation   April 2022-Cupertino, CA The FINRA records of  Clara Tang ,  a former stock broker with Cetera Investment Services,  disclose a prior customer dispute and 2 pending customer…

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Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO
Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO 150 150 ER

Joel Kichline Investigation April 2022- Frontenac, MO According to publicly available records,  Joel Kichline, a currently unregistered broker who was previously employed with Stifel, Nicolaus & Company  in Frontenac, MO.…

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Faith Read Xenos- MSEC Broker- Discloses Customer Dispute -Coral Gables, FL
Faith Read Xenos- MSEC Broker- Discloses Customer Dispute -Coral Gables, FL 150 150 ER

Faith Read Xenos Investigation April 2022- Coral Gables, FL According to publicly available records,  Faith Read Xenos, a broker with MSEC and Mariner Wealth Advisors in Coral Gables, FL,  discloses a  customer…

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Brett S. Ellen-Former Metric Financial Broker-Discloses $1.9M Customer Suit – Las Vegas, NV
Brett S. Ellen-Former Metric Financial Broker-Discloses $1.9M Customer Suit – Las Vegas, NV 150 150 ER

Brett Scott Ellen Investigation Updated October 2023 – Las Vegas, NV According to publicly available records  Brett S. Ellen,  an unregistered broker who was most recently employed by  Metric Financial…

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Rex Securities Law Investment Fraud Attorney Investigates Jorge A. Sonville formerly with Merrill Lynch
Rex Securities Law Investment Fraud Attorney Investigates Jorge A. Sonville formerly with Merrill Lynch 150 150 ER

Last Updated: September 2023 (Miami, FLA) Jorge Sonville Investigation Summary Here’s what you need to know about Miami, FLA, stockbroker Jorge A. Sonville: Name: Mr. Jorge Antonio Sonville Current Employer:…

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Manuel Collazo-Insigneo Securities Broker-Discloses $2.3M in Customer Settlements- San Juan, Puerto Rico
Manuel Collazo-Insigneo Securities Broker-Discloses $2.3M in Customer Settlements- San Juan, Puerto Rico 150 150 ER

Manuel Collazo Investigation April 2022- San Juan, Puerto Rico The FINRA records of Manuel Diaz Collazo,  a broker with Insigneo Securities who formerly worked for Santander Securities,  discloses 13 prior customer…

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Andres Jaraj-Insigneo Securities Broker-Discloses Settlement of Customer Dispute- Montevideo, Uruguay
Andres Jaraj-Insigneo Securities Broker-Discloses Settlement of Customer Dispute- Montevideo, Uruguay 150 150 ER

Andres Jaraj Investigation April 2022- Montevideo, Uruguay The FINRA records of Andres Jaraj,  a broker with Insigneo Advisory Securities who formerly worked for Northeast Securities, Inc.  disclose a prior customer dispute.…

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Dennis Ayre-Former Hill Top Securities Broker-Settles $1.18m+ in Customer Disputes and is Barred From Securities Industry-Beverly Hills, CA
Dennis Ayre-Former Hill Top Securities Broker-Settles $1.18m+ in Customer Disputes and is Barred From Securities Industry-Beverly Hills, CA 150 150 ER

Dennis Ayre Investigation April 2022-Beverly Hills, CA According to publicly available records Dennis Ayre,  a  former stockbroker who last worked for Hill Top Securities discloses that he has 9 prior customer complaints…

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Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY
Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY 150 150 ER

Mark Kregor Investigation March 2022- Louisville, KY The FINRA records of Mark F. Kregor,  a broker with Stifel, Nicolaus & Company who formerly worked for Robert W. Baird,  disclose a regulatory…

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Dustin Ward- Woodbury Financial Broker- Discloses Pending Customer Disputes -St. Louis, MO
Dustin Ward- Woodbury Financial Broker- Discloses Pending Customer Disputes -St. Louis, MO 150 150 ER

Dustin K. Ward Investigation April 2022- St. Louis, MO According to publicly available records, Dustin K. Ward, a Woodbury Financial Services broker, discloses 2 pending customer disputes. The Financial Industry…

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