• ER

Michael Fahsholtz- Former Stifel, Nicolaus Broker- Discloses 9 Final Customer Disputes – Wenatchee, WA
Michael Fahsholtz- Former Stifel, Nicolaus Broker- Discloses 9 Final Customer Disputes – Wenatchee, WA 150 150 ER

Michael Fahsholtz Investigation February 2022- Wenatchee, WA According to publicly available records,  Michael A. Fahsholtz , an unregistered broker who was previously with Stifel, Nicolaus & Company,  discloses 9 final customer…

read more
  • ER

Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay
Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay 150 150 ER

Ignacio Erhart Del Campo Investigation March 2022- Montevideo, Uruguay The FINRA records of Ignacio Erhart Del Campo  , a former stockbroker who was last employed by Insigneo Securities. , discloses 2 regulatory events and a…

read more
  • ER

Vince Mastrovito-Former J.W. Cole Financial Broker Discloses 2 Pending Customer Disputes and a Termination- Charlevoix, MI
Vince Mastrovito-Former J.W. Cole Financial Broker Discloses 2 Pending Customer Disputes and a Termination- Charlevoix, MI 150 150 ER

Vince Mastrovito Investigation March 2022- Charlevoix, MI The FINRA records of Vince Mastrovito, a broker who formerly worked for J.W. Cole Financial, Inc. and Cambridge Investment Research disclose 2 pending customer…

read more
  • ER

Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA
Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA 150 150 ER

Charles (Chuck) Arthur Cox Investigation March 2022- Federal Way, WA According to publicly available records  Chuck Cox , a stockbroker registered with Raymond James Financial Services Advisors, Inc. discloses a…

read more
  • ER

Kurt Stein-Quint Capital Broker-Discloses Customer Dispute and 1 Pending Customer Disputes -New York, NY
Kurt Stein-Quint Capital Broker-Discloses Customer Dispute and 1 Pending Customer Disputes -New York, NY 150 150 ER

Kurt Stein Investigation March 2022- New York, NY The FINRA records of Kurt Anthony Stein,  a Quint Capital Corporation broker,  discloses 2 prior customer disputes and 1 pending customer dispute. The Financial…

read more
  • ER

Joseph Giordano and Roberto Birardi- Aegis Capital Brokers- Suspended by Regulator over Millions in Excess Trading Costs-Melville, NY
Joseph Giordano and Roberto Birardi- Aegis Capital Brokers- Suspended by Regulator over Millions in Excess Trading Costs-Melville, NY 150 150 ER

Joseph M. Giordano and Roberto Birardi / Aegis Capital  Investigation March 2022-Greenwood, SC According to publicly available records Joseph M. Giordano and Robert Birardi,  stockbrokers who are currently employed by…

read more
  • ER

Jan E. Haynes-Former Integrity Brokerage Services Broker-Discloses Customer Disputes and Regulatory Suspension-LaJolla, CA
Jan E. Haynes-Former Integrity Brokerage Services Broker-Discloses Customer Disputes and Regulatory Suspension-LaJolla, CA 150 150 ER

Jan E. Haynes Investigation March  2022- La Jolla, CA The FINRA records of  Jan Earl Haynes,  a  stock broker who is currently suspended by FINRA and who was last employed by Centaurus Financial,…

read more
  • ER

William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX
William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX 150 150 ER

William Frank Richardson Investigation   September 2022-Houston, TX The FINRA records of  William “Frank” Richardson, Jr. ,  a stock broker with Avantax Investment Services,  disclose 6 prior customer disputes. The Financial…

read more
  • ER

James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA
James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA 150 150 ER

James William Dunn, Jr. Investigation March 2022- Vienna, VA The FINRA records of James William Dunn, Jr,  a currently unregistered broker who was last employed by Ameriprise Financial Services,  disclose  19 prior…

read more
  • Robert Rex, Esq.

Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY
Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY 150 150 Robert Rex, Esq.

Joseph F. Valdini Investigation March 2022-Melville, New York The FINRA records of Joseph F. Valdini ,  a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…

read more
Enter your
text here

You cannot copy content of this page