Wade Theo Papas Investigation April 2023-New York, NY According to publicly available records Wade Theo Papas, a former National Securities Corporation broker discloses 2 pending customer disputes. The Financial Industry Regulatory…
read moreHeath Goldstein Investigation April 2023-Clarks Summit, PA According to publicly available records Heath Gary Goldstein, a broker employed by Western International Securities discloses $821,209 in final customer disputes and multiple pending customer…
read moreChristopher Passero Investigation March 2023-Hurricane, WV According to publicly available records Christopher John Passero, a Money Concepts Capital Corp. broker discloses a regulatory event, prior customer dispute and a pending…
read moreChristopher Blumer Investigation March 2023- New York, NY The FINRA records of Michael Christopher Blumer, a former SW Financial broker who currently works for Spartan Capital Securities, disclose two pending and two prior…
read moreShad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of Shad Ketcher, a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreRobert D’Agosta Investigation March 2023- Bethlehem, PA The FINRA records of Robert D’Agosta, an IBN Financial Services, Inc. broker, disclose a a regulatory event, an arbitration award and 3 prior customer disputes.…
read moreMichael J. Petyak- Calton & Assoc. Financial Advisor -Discloses Pending Customer Dispute- Canton, MS
Michael J. Petyak Investigation March 2023- Canton, MS According to publicly available records Michael J. Petyak, a broker currently employed by Calton & Associates, Inc., discloses a pending customer dispute. The Financial…
read moreRobert Melberth Investigation March 2023-Sarasota, FL According to publicly available records Robert Wyla Melberth, a broker employed by Emerson Equity, discloses multiple customer disputes seeking more than $12 million in damages.…
read moreWilliam Seibert Investigation March 2023-Houma, LA According to publicly available records William Colin Seibert, a Raymond James & Associates, Inc. broker, discloses a $897,500 settlement payment and a pending customer dispute.…
read moreGerardo Castillo Investigation March 2023-Miami, FL According to publicly available records Gerardo I. Castillo, a broker who currently is working with Insigneo Services and before that, Wells Fargo, discloses settlement of…
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