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Last Updated: November 2023 (Sarasota, FL) Marc Korsch Investigation Summary Here’s what you need to know about Sarasota, Florida, stockbroker Marc Korsch: Name: Mr. Marc Frederick Korsch Current Employer: Barred…
read moreLast Updated: October 2023 (Beaumont, Texas) Gretchen Hargroder Investigation Summary Here’s what you need to know about Beaumont, TX, stockbroker Gretchen Hargroder: Name: Gretchen Elaine Hargroder Current Employer: UBS Financial…
read moreLast Updated: February 2023 (Lone Tree, CO) John Riddle Investigation Summary Here’s what you need to know about Lone Tree, CO, stockbroker John Riddle: Name: Mr. John Nolan Riddle Current…
read moreKevin Klickna Investigation June 2023-Rochester, IL According to publicly available records Kevin Klickna a currently unregistered broker most recently employed with Equitable Advisors discloses a final regulatory matter and a termination…
read moreSanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of Sanders L. Spangler , a former stockbroker who was once employed by LPL Financial disclose a regulatory matter, 6 prior customer disputes…
read moreSeptember 2021- Largo, FL According to publicly available records, Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…
read moreNovember 2020- New York, NY According to publicly available records, former Private Client Services financial advisor Jeffrey Slothower, was suspended from the securities industry by FINRA. The Financial Industry Regulatory Authority…
read moreOctober 2020- Hollywood, FL According to publicly available records. Stefan Anton Pastor, (CRD#5141819), a former stockbroker who last worked for Raymond James Financial Services, Inc., discloses a regulatory event, 2…
read moreJune 2020- Wyandotte, MI The FINRA records of Donald Marshall Cox, a broker employed by Raymond James & Associates, Inc. , disclose a regulatory event and a customer dispute. The Financial Industry Regulatory…
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