Karen Cunningham Investigation February 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham, a broker employed by Kestra Advisory Services, discloses a pending customer dispute. The Financial…
read moreScott Burford-Former Hilltop Securities Broker-Discloses Regulatory Event and Termination-Dallas, TX
Scott Burford Investigation February 2023-Dallas, TX The FINRA records of Scott Burford , a Hilltop Securities Network Securities, Inc., broker disclose a regulatory matter and a termination. Investigations of Hilltop Securities…
read moreCliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs, a broker employed by Securities Management and Research, Inc., discloses a customer dispute. The Financial…
read moreWilliam Huthnance Investigation February 2023-Houston, TX The FINRA records of William Huthnance, a UBS Financial Services broker, discloses 2 past customer disputes and 2 customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreDustin Goss Investigation February 2023 – Austin, TX According to publicly available records Dustin Goss, a former broker who last worked for Park Avenue Services, discloses a final regulatory matter resulting…
read moreDoug McKelvey Investigation June 2023-Southlake, TX According to publicly available records Doug McKelvey,a former broker who last worked for Morgan Stanley, discloses a final regulatory matter resulting in a permanent bar…
read moreJennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX
Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell a broker employed by Ameriprise Financial Services, discloses a final customer dispute. The Financial…
read moreHowell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a $58K customer dispute. The Financial Industry…
read moreLPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…
read moreMorgan Darby Hill/GWG L-Bond Investigation October 2022- Woodstock, GA According to publicly available records Morgan Darby Hill, a broker formerly employed by Center Street Securities, discloses a pending customer suit…
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