• ER

Andrew “Andy” Grant- Laidlaw & Company Broker- Discloses Regulatory Event- Melville, NY
Andrew “Andy” Grant- Laidlaw & Company Broker- Discloses Regulatory Event- Melville, NY 150 150 ER

Andrew “Andy” Grant Investigaton November 2021- Melville, NY According to publicly available records,  Andrew “Andy” Justin Grant,  a broker with Laidlaw & Company discloses a regulatory event. The Financial Industry Regulatory…

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James A. Seijas- Former Wells Fargo Broker-Barred From Industry by Securities Regulator-Short Hills, NJ
James A. Seijas- Former Wells Fargo Broker-Barred From Industry by Securities Regulator-Short Hills, NJ 150 150 ER

James A. Seijas Investigation April 2022- Bloomington, MN  The FINRA records of  James A. Seijas ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a…

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Michael J. May- Joseph Stone Capital Broker- Discloses Regulatory Event and Settled Customer Dispute- Mineola, NY
Michael J. May- Joseph Stone Capital Broker- Discloses Regulatory Event and Settled Customer Dispute- Mineola, NY 150 150 ER

Michael J. May Investigation April 2022- Mineola, NY According to publicly available records,  Michael James May,  a broker who formerly worked for Joseph Stone Capital discloses a regulatory event and a…

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Steven Musielski – Former Cambria Capital Broker-Barred From Industry by Securities Regulator-Anaheim, CA
Steven Musielski – Former Cambria Capital Broker-Barred From Industry by Securities Regulator-Anaheim, CA 150 150 ER

Steven Musielski Investigation April 2022- Anaheim, CA The FINRA records of  Steven D. Musielski ,  a  former financial advisor who was last employed by  Cambria Capital, disclose a regulatory event, a…

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Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY
Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY 150 150 ER

Peter J. Klein Investigation April 2022- Melville, NY According to publicly available records,  Peter Klein, a broker with Hightower Securities in Melville, NY,  discloses 3 pending customer complaints. The Financial Industry Regulatory…

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Jeffrey Kiesnoski -Concorde Investment Services Broker-Discloses $1.8M+ in Customer Suits- Livonia, MI
Jeffrey Kiesnoski -Concorde Investment Services Broker-Discloses $1.8M+ in Customer Suits- Livonia, MI 150 150 ER

Jeffrey Kiesnoski Investigation April 2022- Livonia, MI The FINRA records of Jeffrey A. Kiesnoski,  a Concorde Investment Services broker,  disclose  two prior customer disputes and two pending customer disputes. The Financial Industry…

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David Melilli- Former Cambridge Investment Broker-Barred From Industry by Securities Regulator-Moorestown, NJ
David Melilli- Former Cambridge Investment Broker-Barred From Industry by Securities Regulator-Moorestown, NJ 150 150 ER

David Melilli Investigation April 2022- Moorestown, NJ The FINRA records of  David J. Melilli ,  a  former financial advisor who was last employed by Cambridge Investment Research and Sagepoint Financial, Inc.,…

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Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA
Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA 150 150 ER

Clara Tang Investigation   April 2022-Cupertino, CA The FINRA records of  Clara Tang ,  a former stock broker with Cetera Investment Services,  disclose a prior customer dispute and 2 pending customer…

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Faith Read Xenos- MSEC Broker- Discloses Customer Dispute -Coral Gables, FL
Faith Read Xenos- MSEC Broker- Discloses Customer Dispute -Coral Gables, FL 150 150 ER

Faith Read Xenos Investigation April 2022- Coral Gables, FL According to publicly available records,  Faith Read Xenos, a broker with MSEC and Mariner Wealth Advisors in Coral Gables, FL,  discloses a  customer…

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Brett S. Ellen-Former Metric Financial Broker-Discloses $1.9M Customer Suit – Las Vegas, NV
Brett S. Ellen-Former Metric Financial Broker-Discloses $1.9M Customer Suit – Las Vegas, NV 150 150 ER

Brett Scott Ellen Investigation Updated October 2023 – Las Vegas, NV According to publicly available records  Brett S. Ellen,  an unregistered broker who was most recently employed by  Metric Financial…

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