• ER

Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD
Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD 150 150 ER

Christopher Gordon Investigation April 2023-Annapolis, MD According to publicly available records Christopher J. Gordon,a  broker who formerly worked with Cambridge Investment Research, but now is with Centaurus Financial, discloses 4 pending customer…

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Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY
Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY 150 150 ER

Nickolay Kukukov Investigation April 2023-New York NY According to publicly available records Nickolay Kukukov , a former broker who last worked for Paulson Investment Company,  discloses a final regulatory matter a…

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Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY
Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY 150 150 ER

Amit Bhatia Investigation March 2023-New York NY According to publicly available records Amit Kumar Bhatia , a former broker who last worked for Raymond James,  discloses a final regulatory matter. The…

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Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ
Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ 150 150 ER

Janie Garza-Clark Investigation March 2023-Scottsdale, AZ  According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management,  discloses a final regulatory matter resulting in…

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  • ER

Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY
Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY 150 150 ER

Robert Kristal Investigation March 2023-New York, New York The FINRA records of Robert Eugene Kristal,  a broker previously employed by H.C. Wainwright & Co. , disclose a regulatory matter resulting in a…

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  • ER

Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX
Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX 150 150 ER

Monica Laguna Investigation March 2023-Coppell, TX  According to publicly available records,  Monica A. Laguna a former broker who last worked for JP Morgan,  discloses a final regulatory matter resulting in a…

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  • Robert Rex, Esq.

John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA
John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA 150 150 Robert Rex, Esq.

Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million   According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…

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  • ER

Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, TX
Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, TX 150 150 ER

Justin Anderson Investigation March  2023- Austin, TX According to publicly available records Justin A. Anderson, a former broker who last worked for CUSO Financial Services,  discloses a final regulatory matter resulting…

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  • ER

Ellen Reynard- Former Raymond James Broker-Discloses Regulatory Suspension and Termination from Employment- Beaumont, TX
Ellen Reynard- Former Raymond James Broker-Discloses Regulatory Suspension and Termination from Employment- Beaumont, TX 150 150 ER

Ellen Reynard Investigation March 2022-Beaumont, TX The FINRA records of Ellen Gayle Reynard,  a  broker previously employed by Raymond James Financial Services , disclose a regulatory matter and a termination from employment.…

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  • ER

John Michael Palombo- Former Merrill Lynch Broker-Suspended Indefinitely by Securities Regulator – Austin, TX
John Michael Palombo- Former Merrill Lynch Broker-Suspended Indefinitely by Securities Regulator – Austin, TX 150 150 ER

John Michael Palombo Investigation March 2022-Austin, TX The FINRA records of John Michael Palombo ,  a former broker previously employed by Robert W. Baird & Co. , disclose a final regulatory matter .…

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