Stacy Mari Goldsmith Investigation February 2024– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes and…
read moreJanuary 2024- San Antonio, Texas According to publicly available records Gary C. Haack (CRD#2796834) , a stockbroker who currently is employed by Corecap Investments , discloses 2 prior customer disputes. The Financial Industry Regulatory…
read moreJonathon Ebel Investigation January 2024-Hauppauge, NY According to publicly available record Jonathon Ebel, a Network 1 Financial Securities broker discloses three prior customer disputes and two pending customer disputes. The Financial Industry…
read moreGeorge Fellows Investigation January 2024- Washington, DC The FINRA records of George W. Fellows, Jr., a former Merrill Lynch broker, disclose a regulatory event, a settled customer dispute and a termination.…
read moreKenneth A. Luccioni Investigation January 2024-Park Ridge, IL The FINRA records of Kenneth A. Luccioni, a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…
read moreJanuary 2024-Plano, TX The FINRA records of Richard (“Rick”) E. Poston , a stockbroker who last worked for H. Beck (now known as Grove Point Investments) in Plano, TX, discloses a pending…
read moreJanuary 2024 – Clearwater, FL According to publicly available records William B. Gordon (CRD# 2127800) , a registered stockbroker currently employed by Kovack Securities disclose a prior regulatory event and 12 prior…
read moreJohn Egan Investigation January 2024– Glendora, CA According to publicly available records John Kevin Egan an unregistered broker previously employed by Western International Securities, discloses 4 pending customer disputes and 3…
read moreKennister Daley Investigation September 2022- Boynton Beach, FL According to publicly available records, Kennister U. Daley, an Allstate Financial Services broker discloses settlement of a customer dispute. The Financial Industry…
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