Ex-Pat With Losses in Your U.S. Brokerage Account? If you are an expat residing in Canada, The Bahamas, Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South America, Costa…
read moreLast Updated: August 2025 (Flower Mound, TX) Bill Burks Investigation Summary Here’s what you need to know about Flower Mound, TX, stockbroker Bill Burks: Name: Mr. William Charles Burks, II…
read moreLast Updated: August 2025 (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: July 2025 (Winter Park, FL) Dean Nowak Investigation Summary Here’s what you need to know about Winter Park, FL, stockbroker Dean Nowak: Name: Mr. Dean Robert Nowak Current…
read moreUpdated: July 2025 New York According to FINRA records, Ari M. Baum , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment . The Financial Industry Regulatory…
read moreJeffrey G. Meyers Investigation July 2025- Overland Park, KS According to publicly available records, Osaic Wealth financial advisor Jeffrey G. Meyers, discloses a pending customer dispute and 6 prior customer disputes.…
read moreCathy Wu Investigation July 2025-Arcadia, CA The FINRA records of Ping Shuang Cathy Wu , a broker with Cetera Investment Services, disclose a recent customer complaint. The Financial Industry Regulatory Authority (FINRA) is…
read moreLast Updated: June 2025 (Miami, FL) Ariel Rivero Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Ariel Rivero: Name: Mr. Ariel A. Rivero Current Employer: Not…
read moreMay 2025- Dallas, TX The FINRA records of Daniel W. Staudacher, a broker currently registered with Worth Financial Group, disclose 2 regulatory events, a customer dispute and a pending IRS lien.…
read moreMay 2025 – Atlanta, GA The FINRA records of of David Harrison Miller , formerly a stockbroker with Peachcap Securities is not currently registered with FINRA. He discloses 9 prior…
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