January 2017- Staten Island, New York According to publicly available records Jeanpaul Charles Skovronck , (CRD# 2744738) , a stockbroker who is currently employed by Alexander Capital, disclose a currently pending customer dispute.…
read moreJanuary 2017-The Woodlands, Texas According to publicly available records Paul R. Nitz, (CRD# 2260178) , a stockbroker currently employed by HD Vest Investment Services , discloses a pending customer dispute. The Financial Industry Regulatory…
read moreJanuary 2017-Sanford, FL According to publicly available records Andrew R. Scheirer, II (CRD# 4256666) , a stockbroker currently employed by Kovack Securities , discloses two prior finalized customer disputes and a separation from employment after…
read moreJanuary 2017-Friendswood, Texas The FINRA records of Steven W. Shirley, a stockbroker with IMS Securities disclose a a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreJanuary 2017-Houston, Texas The FINRA records of Stacey Lee Rognon, a stockbroker with IMS Securities disclose a a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
read moreJanuary 2017-Miami, Florida The FINRA records of Jesus D. Rodriguez, a stockbroker with IMS Securities disclose a prior customer dispute and a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreDecember 2016-Denver, Colorado Brokerage firm Mid Atlantic Capital was ordered to pay a married couple $922,000 by a FINRA arbitration panel for damages they suffered to their brokerage account as…
read moreDecember 2016-Davie, FL The FINRA records of Mark B. Beloyan, a stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…
read moreSeptember 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…
read moreNovember 2016-Watertown, New York The FINRA records of Stanley C. Niekras, a stockbroker who was formerly employed by Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…
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