Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of Curtis “Curt” Wilson, a currently unregistered broker who was previously employed with Securities America , disclose settlement of customer disputes. The…
read moreLast Updated: December 2023 (Northbrook, Illinois) David Geake Investigation Summary Here’s what you need to know about Northbrook, IL, stockbroker David Geake: Name: Mr. David Richard Geake Current Employer: FINRA…
read moreGregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records Gregory Sain , a broker who was previously registered with Stifel Nicolaus and is now with Morgan…
read moreAtul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a regulatory event, 9 prior customer disputes and…
read moreTexas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…
read moreTimothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records Timothy Connor, of LPL Financial , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreJames Warring Investigation June 2023 – Rockville, Maryland According to publicly available records James Dale Warring, a broker currently registered with Emerson Equity, discloses $4.5M pending customer dispute. The Financial Industry…
read moreJames Bernthal Investigation June 2023-New York, NY According to publicly available records James R. Bernthal a broker with Aegis Capital Corp., discloses 3 prior and a pending customer dispute. The…
read moreMark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with LPL Financial discloses four prior customer disputes and one pending customer dispute.…
read more