Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY

Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY 150 150 ER

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…

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Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA

Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA 150 150 ER

Heath 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…

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Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV

Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV 150 150 ER

Christopher 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…

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Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY

Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY 150 150 ER

Christopher 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…

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Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN

Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN 150 150 ER

Shad 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…

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Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA

Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA 150 150 ER

Robert 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.…

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Robert Melberth- Emerson Equity Securities Broker-Facing 12M+ in Customer Suits- Sarasota, FL

Robert Melberth- Emerson Equity Securities Broker-Facing 12M+ in Customer Suits- Sarasota, FL 150 150 ER

Robert 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.…

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William Seibert- Raymond James Broker- Discloses $897.5K Settlement with Customer and a Pending Customer Case- Houma, LA

William Seibert- Raymond James Broker- Discloses $897.5K Settlement with Customer and a Pending Customer Case- Houma, LA 150 150 ER

William 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.…

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