James 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…
read moreStephen Marek Investigation June 2023-Uniondale , NY According to publicly available records Stephen Marek a Joseph Gunnar & Co. broker, discloses 2 prior customer disputes and a pending customer dispute.…
read moreKevin Klickna Investigation June 2023-Rochester, IL According to publicly available records Kevin Klickna a currently unregistered broker most recently employed with Equitable Advisors discloses a final regulatory matter and a termination…
read moreEdward Short Investigation June 2023-Melville, NY According to publicly available records Edward Scott Short, a broker previously with Laidlaw & Company discloses a final regulatory matter resulting in being permanently…
read moreTodd Cirella Investigation June 2023-Melville, NY According to publicly available records Todd Anthony Cirella a broker with Laidlaw & Company, Ltd., discloses a final regulatory matter resulting in a 3 month…
read moreJoseph F. Valdini Investigation June 2023-Melville, New York The FINRA records of Joseph F. Valdini , a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose 2 regulatory matters,…
read moreStifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…
read moreScott Burford-Former Hilltop Securities Broker-Discloses Regulatory Event and Termination-Dallas, TX
Scott Burford Investigation February 2023-Dallas, TX The FINRA records of Scott Burford , a Hilltop Securities Network Securities, Inc., broker disclose a regulatory matter and a termination. Investigations of Hilltop Securities…
read moreHowell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a $58K customer dispute. The Financial Industry…
read moreDoug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX
Doug McKelvey Investigation September 2022-Southlake, TX According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley , discloses a recent regulatory matter, a prior…
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