July 2016-Ronkonkoma, NY According to publicly available records Patrick C. Gugliotta , (CRD# 5033421) , a stockbroker who was formerly employed by K.C. Ward Financial, discloses a pending customer dispute. The Financial Industry…
read moreJanuary 2016-Ronkonkoma, NY According to publicly available records Carlos N. Evertsz-Seda , (CRD# 4285605) , a stockbroker who is currently employed by K.C. Ward Financial, discloses a pending customer dispute. The…
read moreDennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
February 2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…
read moreFebruary 2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…
read moreDecember 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) , a stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…
read moreFebruary 2017-Boca Raton, FL According to publicly available records Brett S. Murphy , (CRD# 2434384) , a stockbroker who is currently registered with Revere Securities, LLC disclose a pending customer dispute. The Financial Industry Regulatory Authority…
read moreFebruary 2017-Houston, Texas According to publicly available records Michael J. Spears , (CRD# 4501523) , a stockbroker who is currently registered with IMS Securities discloses two pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is…
read moreThe Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well…
read moreNew York UPDATE JUNE 2017–Michael Guilfoyle is not currently registered He left employment at Four Points Capital Partners in 3/2017. ORIGINAL POST 2/2017 Publicly available records of Michael N. Guilfoyle, (CRD#…
read moreFebruary 2017- Oak Brook, Illinois According to publicly available records Matthew Christopher Maczko , (CRD# 1888519) , a former stockbroker who was last employed by Wells Fargo Advisors, LLC, discloses that FINRA has permanently…
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