• ER

Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA
Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA 150 150 ER

Howard Woo Investigation June 2023 – Irvine, CA  According to publicly available records  Howard Woo ,  a broker with UBS Financial Services, Inc.  discloses a pending customer dispute The Financial Industry…

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  • ER

Justine Tobin – Tobin & Co. Securities Broker- Has $5M in Pending Customer Disputes -Charlotte, NC
Justine Tobin – Tobin & Co. Securities Broker- Has $5M in Pending Customer Disputes -Charlotte, NC 150 150 ER

Justine Tobin Investigation June 2023 – Charlotte, NC According to publicly available records  Justine Tobin, of  Tobin & Company Securities , discloses 2 pending customer disputes. The Financial Industry Regulatory…

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  • ER

Cynthia Barreira – NYLife Securities Broker- Has Pending Customer Dispute Over Annuity Recommendation-Knoxville, TN
Cynthia Barreira – NYLife Securities Broker- Has Pending Customer Dispute Over Annuity Recommendation-Knoxville, TN 150 150 ER

Cynthia Barriera Investigation June 2023 – Knoxville, TN According to publicly available records  Cynthia Barreira,  a  NYLife Securities broker, discloses a pending customer dispute in connection with the purchase of annuities.…

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  • ER

James V. Peters – Centaurus Financial Broker- Has Pending Customer Dispute-Irvine, CA
James V. Peters – Centaurus Financial Broker- Has Pending Customer Dispute-Irvine, CA 150 150 ER

James V. Peters Investigation June 2023 – Irving , CA According to publicly available records  James V. Peters,  a  Centaurus Financial broker, discloses a pending customer dispute. The Financial Industry…

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Dennis Thurman – Arete Wealth Management Broker- Customer Suit over GWG L-Bonds -Sioux Falls, South Dakota
Dennis Thurman – Arete Wealth Management Broker- Customer Suit over GWG L-Bonds -Sioux Falls, South Dakota 150 150 ER

Dennis Thurman Investigation June 2023 -Sioux Falls, S. Dakota According to publicly available records  Dennis Thurman,  a  broker who works for Arete Wealth Management,  discloses a pending customer dispute involving GWG…

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  • ER

Mark Stewart-M Stevens Securities Broker- Has Customer Suit over GWG L-Bonds-Irvine, CA
Mark Stewart-M Stevens Securities Broker- Has Customer Suit over GWG L-Bonds-Irvine, CA 150 150 ER

Mark Stewart Investigation June 2023 – Irvine, CA According to publicly available records Mark Stewart , a broker with  M Stevens Securities, discloses a pending customer dispute involving GWG L-Bonds. The…

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  • ER

John Orlando-Former SW Financial Broker- Customer Disputes Resolved for More Than $1.2M – Ft. Lauderdale, FL
John Orlando-Former SW Financial Broker- Customer Disputes Resolved for More Than $1.2M – Ft. Lauderdale, FL 150 150 ER

John A. Orlando Investigation June 2023 – Ft. Lauderdale, FL According to publicly available records  John Anthony Orlando ,  a  stockbroker previously employed by SW Financial,  discloses 2 regulatory events, 5 prior…

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Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA
Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA 150 150 ER

Gary Benson Investigation June 2023-Encino, CA According to publicly available record Gary Benson, an Independent Financial Group broker discloses eight prior customer disputes and one pending customer dispute. The Financial Industry Regulatory…

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  • ER

Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA
Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA 150 150 ER

Craig Accardo Investigation June 2023-Metairie, LA According to publicly available records Craig Accardo a FSC Securities Corporation broker discloses a prior customer dispute and a pending customer dispute. The Financial…

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