Last 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 moreLast Updated: June 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 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…
read moreJohn Zaffarano Investigation Updated April 2025 Boca Raton, FL According to publicly available records, John Zaffarano a Newbridge Securities Corporation broker recently settled a customer dispute. The Financial Industry Regulatory…
read moreApril 2025 – St. Louis, MO According to publicly available records Alvery Anthony Bartlett, Jr. (CRD#13975), a previously registered stockbroker who was last employed by Aegis Capital and who previously…
read moreLast Updated: April 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 moreMark J. Williams Investigation March 2025-Carmel by the Sea, CA/ Lakeway, TX/ Stockbridge, GA According to publicly available records Mark John Williams , a former broker who last was registered…
read moreMario E. Rivero Investigation February 2025-Red Bank, New Jersey We are investigating former Wells Fargo & LPL Financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent…
read moreLast Updated: February 2025 (Albuquerque, New Mexico) Pamela Espinosa Investigation Summary Here’s what you need to know about Albuquerque, NM, stockbroker Pamela Espinosa: Name: Ms. Pamela S. Espinosa Current Employer:…
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