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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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Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX
Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX 150 150 ER

Jeff Graves Investigation March 2023- Addison, TX According to publicly available records Jeffrey Scott Graves, a broker currently employed by  Cetera Advisors Networks Inc.,  discloses a regulatory event. The Financial Industry Regulatory…

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Brian Test-Avantax Investment Services Broker-Discloses Regulatory Event and a Termination from Employment- Frisco, TX
Brian Test-Avantax Investment Services Broker-Discloses Regulatory Event and a Termination from Employment- Frisco, TX 150 150 ER

Brian Test Investigation March 2022-Frisco, TX The FINRA records of Brian Test ,  a  broker currently employed by Avantax Investment Services, Inc. , disclose a regulatory matter, a final customer dispute, and a…

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Stephen Wenske- Former Edward Jones Broker- Discloses a Regulatory Event and a Termination from Employment-Houston, TX
Stephen Wenske- Former Edward Jones Broker- Discloses a Regulatory Event and a Termination from Employment-Houston, TX 150 150 ER

Stephen Wenske Investigation March  2023- Roanoke, TX According to publicly available records Stephen Wenske, a broker who last worked for Edward Jones,  discloses a final regulatory event that resulted in his…

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William Seibert- Raymond James Broker- Discloses $897.5K Settlement with Customer and a Pending Customer Case- Houma, LA
William Seibert- Raymond James Broker- Discloses $897.5K Settlement with Customer and a Pending Customer Case- Houma, LA 150 150 ER

William Seibert Investigation March  2023-Houma, LA According to publicly available records William Colin Seibert,  a Raymond James & Associates, Inc.  broker, discloses a $897,500 settlement payment and a pending customer dispute.…

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  • Robert Rex, Esq.

Penrod Financial Group Sanctioned by Texas Securities Regulator-Austin, TX
Penrod Financial Group Sanctioned by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

Penrod Financial Group Sanctioned by Texas Securities Regulator March 2023- Austin, TX  On February 16, 2023, the Texas State Securities Board (TSSB) entered an order sanctioning Penrod Financial Group, a FINRA registered broker…

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Karen Cunningham- Kestra Investment Services Broker-Discloses $150K Customer Dispute- Oklahoma City, OK
Karen Cunningham- Kestra Investment Services Broker-Discloses $150K Customer Dispute- Oklahoma City, OK 150 150 ER

Karen S. Cunningham Investigation   March 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham,  a broker with Kestra Investment Services,  discloses a pending customer suit. The Financial…

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Brett Rutherford- Capital Investment Broker- Discloses $100K Customer Dispute over GWG Investments -Morehead City, NC
Brett Rutherford- Capital Investment Broker- Discloses $100K Customer Dispute over GWG Investments -Morehead City, NC 150 150 ER

Brett Rutherford Investigation March, 2023 – Raleigh, NC The FINRA records of Brett Rutherford, a Capital Investment Group, Inc. broker, disclose a pending customer dispute involving GWG Holdings Inc.. The Financial Industry…

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