Last Updated: December 2024 (Corpus Christi, Texas) Mark Kemp Investigation Summary Here’s what you need to know about Corpus Christi, Texas, stockbroker Mark Kemp: Name: Mark Alan Kemp Current Employer:…
read moreLast Updated: November 2024 (Lantana, Texas) Shaun Hayes Investigation Summary Here’s what you need to know about Lantana, Texas, stockbroker Shaun Hayes: Name: Mr. Shaun Eugene Hayes Current Employer: Not…
read moreJune 2024 – Del Mar, CA According to publicly available records Mark Fred Augusta (CRD#1333913) , a stockbroker who is currently registered with Hilltop Securities, Inc., disclose 21 prior customer disputes, 2 pending customer…
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,…
read moreJames Travis Flynn Investigation April 2024-Greer , SC/ Greenville, SC Over the past 5 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
read moreDarryl Cohen-Misappropriation From NBA Player Accounts April 2023-Westlake Village, C A The FINRA records of Darryl Cohen, a former stock broker who was last employed in the industry by Morgan Stanley…
read moreGustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records Gustavo Miramontes, a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…
read moreKenneth A. Luccioni Investigation January 2024-Park Ridge, IL The FINRA records of Kenneth A. Luccioni, a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…
read moreJames Bernthal Investigation June 2023-New York, NY According to publicly available records James R. Bernthal a broker with Aegis Capital Corp., discloses 3 prior and a pending customer dispute. The…
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