Last Updated: September 2023 (Atlanta, GA) Ernest Dahlman, III, Investigation Summary Here’s what you need to know about Atlanta, GA, stockbroker Ernest Dahlman, III: Name: Mr. Ernest John Dahlman, III…
read moreRichard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY
January 2019- Wappingers Falls, NY The FINRA records of Richard V. Minichino , a former stockbroker who was last employed by NEXT Financial Group , disclose that he was barred by securities regulators, a recent…
read moreNew York According to FINRA records, Achilleas Psihudakis, a stockbroker who formerly worked for Merrill Lynch , discloses a termination and two prior final financial disclosures. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreBirmingham, Michigan According to FINRA records, Bassam A. Salem, a stockbroker who currently works for Wunderlich Securities , discloses a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreFlint, Michigan According to FINRA records, Michael J. Hebner, a stockbroker who currently works for IFS Securities , discloses a pending customer dispute, four prior final customer disputes and a termination. The Financial Industry Regulatory…
read moreDallas, Texas According to FINRA records, Murray B. Roark, a stockbroker who works for Wunderlich Securities , discloses a pending customer dispute and three prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreBeachwood, Ohio MAY 2017 UPDATE-In 4/2017 a FINRA arbitration panel in Cleveland, OH, awarded a couple over $1 million in FINRA Case #16-0575, Holmes v Wunderlich Securities and Ralph DeRose.…
read moreApril 2019- New York According to FINRA records, Ronald A. Frumkes, a stockbroker who is not currently registered with any firm and who last worked for Wunderlich Securities , discloses three prior…
read moreNew York According to FINRA records, Humbert B. Powell, III , a stockbroker who works for Wunderlich Securities , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…
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