Wynston Hill Capital Craig Sherman Investigation March 2022-Fletcher, NC The FINRA records of Craig Jay Sherman a broker who formerly worked for Wynston Hill Capital, discloses a recent final regulatory…
read moreLast Updated: January 2024 (Miami, Florida) Felipe Henao Vargas Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Felipe Henao Vargas: Name: Mr. Felipe Henao Vargas Current…
read moreIgnacio Erhart Del Campo Investigation March 2022- Montevideo, Uruguay The FINRA records of Ignacio Erhart Del Campo , a former stockbroker who was last employed by Insigneo Securities. , discloses 2 regulatory events and a…
read moreJoseph M. Giordano and Roberto Birardi / Aegis Capital Investigation March 2022-Greenwood, SC According to publicly available records Joseph M. Giordano and Robert Birardi, stockbrokers who are currently employed by…
read moreJoseph F. Valdini Investigation March 2022-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 a regulatory matter,…
read moreJohn Rochester Investigation November 2021- Santa Fe, NM According to publicly available records, John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…
read moreSanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of Sanders L. Spangler , a former stockbroker who was once employed by LPL Financial disclose a regulatory matter, 6 prior customer disputes…
read moreAndrew “Andy” Durham Investigation November 2021-Greenwood, SC According to publicly available records. Andy T. Durham , a stockbroker formerly employed by Allstate Financial Services discloses a regulatory suspension. The Financial Industry…
read moreNovember 2021- New York, NY According to publicly available records, William Cerf a broker with UBS Financial Services, discloses 6 pending customer disputes seeking millions of dollars. The Financial Industry…
read moreMaxim Beliakov Investigation November 2021-Red Bank, NJ According to publicly available records. Maxim Beliakov , a stockbroker formerly employed by Garden State Securities and Woodstock Financial Group discloses a regulatory suspension. The…
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