July 2021- Red Bank, NJ According to publicly available records, former Monmouth Capital financial advisor Dennis James Murphy, has been barred from FINRA. The Financial Industry Regulatory Authority (FINRA) is the…
read moreJuly 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc., discloses 3 regulatory events, 7 final customer disputes,…
read moreJuly 2021- Palm Beach, FL According to publicly available records, Maria Calcena, a broker with Infinex Investments, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreJuly 2021- NYC According to his FINRA record Michael Androulakis, a financial advisor employed by Alexander Capital discloses 2 regulatory events and 4 customer disputes. The Financial Industry Regulatory Authority…
read moreRichard Demetriou Investigation Former Titan Securities Financial Advisor June 2021 – Addison, TX According to publicly available records, former Titan Securities, financial advisor Richard Demetriou, has been barred from the securities…
read moreApril 2021- Boca Raton, FL The FINRA records of Adam C. Goodman , a registered stock broker who recently left Herbert J. Sims to join Stoever, Glass & Co. , disclose 2 pending customer…
read moreApril 2021- New York, NY According to publicly available records, UBS Financial Services financial advisor John Loughran, discloses a pending customer dispute and a prior settled customer dispute. The Financial Industry…
read moreApril 2021- New York, NY According to publicly available records David W. Fenning (CRD#1005307), a stockbroker who works for Morgan Stanley Smith Barney discloses 4 settled customer disputes and 1…
read moreJanuary 2021- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by Cetera Advisors, disclose 4 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreDecember 2020-Amarillo, Texas According to a press release from the Department of Justice, Northern District of Texas, Heather M. Cooper, 40 , a former banker with FirstCapital Bank of Texas…
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