San Antonio, Texas According to FINRA records, Lennie S. Freiman, a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm, discloses a pending regulatory investigation and…
read moreStaten Island, New York According to FINRA records, Frank D. Marinelli, a stockbroker who currently works for Southeast Investments, discloses two pending customer disputes, a termination, two pending judgment/liens and two final customer…
read moreMAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017. FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000. ORIGINAL POST JUNE…
read moreThe Woodlands, Texas MAY 2017 UPDATE-In September 2016, the customer who filed FINRA arbitration 15-0049, see below, was paid $420,000 to settle the matter. ORIGINAL POST JUNE 2016– According to FINRA…
read moreJune 2016—-Beaumont, Texas According to FINRA records, Terry W. Chilton , a stockbroker who formerly was employed by IMS Securities. discloses a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…
read morePlano, Texas According to FINRA records, Robert M. Kuhn , a stock broker who worked for UBS Financial Services from 9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute and…
read moreHurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities (4/2008-1/2016) in Hurst, Texas, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…
read moreScottsdale, AZ According to FINRA records, Mark C. Quale, a broker who began working for First Financial Equity Corp. in 12/2005 discloses that he was discharged by First Financial Equity in…
read moreUPDATE March 2017- FINRA records disclose that additional customer disputes against Kirk Gill have been made since our prior posting. There are now 6 pending and 7 final customer disputes naming Gill. In February…
read moreAPRIL 2018 UPDATE–See this link. May 2016-Greenwood Village, Colorado According to FINRA records, Joseph I. Yanofsky, a broker who has been registered with FIrst Financial Equity Corp, since 6/2015 , discloses a…
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