January 2020 – Miami, FL According to publicly available records Thomas Alan Meier (CRD#1146044) , a former stockbroker who was last registered with Morgan Stanley, disclose a Regulatory Event and 14 prior customer disputes.…
read moreUpdated January 2019- Fort Wayne, Indiana The FINRA records of Alan Harold New , a former stock broker who is not currently registered and who was last employed by NYLife Securities , disclose a pending civil matter…
read moreJanuary 2020-Boca Raton, FL The FINRA records of Gregory Spencer O’Brien, a stockbroker who was formerly employed by Aegis Capital Corp. disclose 2 pending customer disputes , 3 prior final customer disputes and…
read moreAugust 2018-Tampa, Florida A panel of FINRA arbitrators ordered Trustmont Financial Group to pay a former customer more than one million dollars for violations of Florida securities laws, breach of…
read moreAugust 2018-Klamath County, Oregon According to the Herald & News a lawsuit has been filed by the estate of a former resident of Bly, Oregon, against American Independent Securities Group…
read moreAugust 2018-Birmingham, Michigan The FINRA records of John C. Maccoll, a stock broker who was last employed by UBS Financial Services , disclose that he was recently discharged by UBS after failing to cooperate…
read moreAugust 2018-Corpus Christi, TX The Texas State Securities Board (TSSB) announced that Gabriel Claudio, Jr. was sentenced in the 79th District Court of Jim Wells County to 25 years to…
read moreApril 2019 If you invested in American Realty Capital Trust V, now American Finance Trust, Inc. (AFIN), in 2013 and paid $25 per share, you may be surprised to know…
read moreJuly 2018- Fort Wayne, Indiana The FINRA records of Joel Vincent Flaningan , a former stock broker who is not currently registered and who was last employed by NYLife Securities , disclose a pending customer dispute involving…
read moreMARCH 2019 Update–SEC enters consent judgement vs. William Gennity. JULY 2018 The Securities and Exchange Commission (SEC) charged Alexander Capital and two of its managers for failing to supervise three…
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