September 2021- Los Angeles, CA According to publicly available records, Efrain Balderrama Trujillo a broker employed by Western International Securities, Inc. discloses a regulatory event and a prior customer dispute.…
read moreSeptember 2021- Jackson Gap, AL According to publicly available records John Westbrook, a currently unregistered broker who previously was employed by Center Street Securities, discloses a regulatory event, a pending…
read moreSeptember 2021- Appleton, WI According to publicly available records Chad Michael Vandenbusch, a broker with Wintrust Investments, discloses customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreSeptember 2021 – Los Angeles, CA According to publicly available records William S. Calvert, a broker with UBS Financial discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreSeptember 2021- Largo, FL According to publicly available records, Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…
read moreAugust 2021- Greenwood Village, CO According to publicly available records, Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…
read moreAugust 2021- Inver Grove Heights, MN According to publicly available records Timothy David O’Brien, a financial advisor who is not currently registered, but was last employed by Feltl & Company, …
read moreAugust 2021- Syosset, NY According to publicly available records, Michael Norton, a broker currently employed by David Lerner Associates, Inc., discloses 3 settled customer disputes and 1 pending customer dispute.…
read moreAugust 2021 -Mountain View, CA According to publicly recorded records, Joseph D. Olheiser, a financial advisor currenlty employed by Cabot Lodge Securities, discloses a regulatory event, a bankruptcy and a…
read moreAugust 2021 – Tampa, FL According to publicly available records , Clyde Anthony Jensen, a former broker with TD Private Client Wealth and Ameriprise disclose a pending regulatory event involving being named as…
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