August 2016-Melville, New York The FINRA records of Rick J. Sande , a stock broker who is currently employed by Aegis Capital , disclose a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory…
read moreAugust 2016-Arden Arcade, CA The FINRA records of Joel E. Archer , a stock broker who is currently employed by Summit Brokerage Services , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreAugust 2016-The Villages, Florida The FINRA records of J.J. Heaton , a stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Heaton’s prior employer.…
read moreAugust 2016-The Villages, Florida The FINRA records of Debra R. Lambert , a stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Lambert’s…
read moreDenton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477. August 2016-ORIGINAL POST The FINRA records of Robert Kyle Ratcliff , a stock broker who is currently employed…
read moreAugust 2016-Summerfield / The Villages, Florida The FINRA records of Dean T. Nicholson , a stock broker who is currently employed by Sagepoint Financial, dba Elliott Wealth Management Services , disclose a prior final regulatory event, a prior customer…
read moreAugust 2016-New York The FINRA records of Hank M. Werner , a currently unlicensed stock broker who was most recently employed by Legend Securities Inc. , discloses a pending FINRA investigation in which he was charged with…
read moreAugust 2016-Colt’s Neck, New Jersey The FINRA records of Michael P. Dalessandro , a stock broker who is currently employed by The Investment Center , disclose a pending customer dispute and a prior final customer dispute. The…
read moreAugust 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…
read moreAugust 2016-Melville, New York The FINRA records of Rick J. Sande , a stock broker who is currently employed by Aegis Capital Corp. , disclose a pending customer dispute and a prior final customer dispute. The Financial…
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