Eric Hollifield Investigation November 2021-Ducala, GA According to FINRA records Eric S. Hollifield, an unregistered financial advisor previously employed by LPL Financial discloses a multi-million dollar suit by a customer…
read moreRhett Bedwell Investigation November 2021- Rogers, AR The FINRA records of Rhett Bedwell , a former financial advisor who was last employed by LPL Financial disclose a regulatory event and three…
read moreSebastian Wyczawski Investigation November 2021- Manorville, NY According to publicly available records , Sebastian Wyczawski (CRD #2835135), a stockbroker formerly employed by Joseph Stone Capital, disclose a recent regulatory sanction and a settled customer…
read moreMargaret Suite-Arnold Investigation November 2021-China Grove, NC According to FINRA records Margaret Suite-Arnold, a financial advisor employed as a registered broker by FSC Securities Corporation discloses a pending customer dispute.…
read moreHancock Whitney Investment Services Investigation November 2021 Hancock Whitney Investment Services was fined and ordered to pay disgorgement and restitution over $2.4 million dollars by regulators for conflicts of interest related…
read moreRobin Platt Investigation November 2021-Covington, LA According to FINRA records Robin V. Platt, a financial advisor employed as a registered broker by Hancock Whitney Investment Services discloses a multi-million dollar suit…
read moreKurt Gunter Investigation November 2021-Bee Cave, Texas Gunter Sanctioned by FINRA According to his FINRA record Kurt Jason Gunter a financial advisor who was last employed as a registered broker…
read moreMegurditch “Mike” Patatian Investigation November 2021- Westlake Village, CA According to publicly available records, Mike Patatian a former broker who was last employed by Western International Securities, Inc. discloses a pending…
read moreJoseph Michaletz Investigation November 2021-Mankato, MN According to publicly available records Joseph G. Michaletz , a stockbroker who is currently registered with DAI Securities, disclose 3 currently pending customer disputes…
read moreGuilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records, Guilford Nergard, a currently unregistered financial advisor who previously was employed by Raymond James discloses a regulatory event ,…
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