October 2020- Oconomowoc, WI According to publicly available records, former Mutual of Omaha Investor Services, Inc., financial advisor Edward Earl Matthes , discloses 5 regulatory events, a civil event, 15 prior…
read moreApril 2020- McAllen, TX The FINRA records of Ma Rosa Linan Abrego, a broker previously employed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated disclose a regulatory event resulting in a…
read moreOctober 2020-Birmingham, AL According to publicly available records of Joseph Monroe Lawrence, III (CRD#5605961) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses a regulatory event and…
read moreApril 2020- McAllen, TX The FINRA records of Ramon Esparza , a broker previously employed by Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…
read moreApril 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…
read moreFebruary 2010-Hurst, TX According to publicly available records of Kerry D. Wills (CRD#1353739) , a stockbroker employed with First Western Securities, Inc., discloses a regulatory event resulting in a suspension and…
read moreJanuary 2020-Torrington, CT According to publicly available records. Lester William Burroughs (CRD#1413972), a former stockbroker who last worked for Lincoln Investment discloses 2 regulatory events, a criminal charge, a pending…
read moreFebruary 2020- Milledgeville, GA The FINRA records of Dean Harrison Grant , a former stock broker who last worked for M Holdings Securities, Inc. , disclose a regulatory event resulting in a bar from the securities…
read moreFebruary 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya , a former stock broker who last worked for Kovack Securities, Inc. , disclose a regulatory event resulting in a bar from the…
read more