Shadi Barakat Investigation August 2022 -New York The FINRA records of Shadi Taysir Barakat, a stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events, a currently pending customer dispute, 3…
read moreAnthony Bookman Investigation July 2022-Dallas, TX According to publicly available records Anthony Rashad Bookman, a former broker who last worked for Pickwick Capital Partners & Seaport Global Securities, discloses a final regulatory…
read moreBob Flournoy/Energy Investment Partners Sanctioned for Maple Grove 2 Prospect Sales July 2022- Dallas, TX On January 31, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Energy Investment Partners…
read moreTodd Prince Sanctioned for Sales of Beeler 2H Joint Venture Sales July 2022- Austin, TX On April 21, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Todd Prince. According…
read morePerry Abbonizio Sanctioned by Texas Securities Regulator July 2022- Austin, TX On June 23, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Perry Abbonizio. In February, 2020, the Texas…
read moreStartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator July 2022- Austin, TX On June 12, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning StartEngine Crowdfunding, Inc., an equity…
read moreNoe Ramirez Investigation July 2022-Austin, TX According to publicly available records Noe Ramirez, former Merrill Lynch broker, discloses a final regulatory matter resulting in a permanent bar from the securities…
read moreShawn Parker Investigation July 2022-Schaumburg, IL According to publicly available records Shawn Elizabeth Parker,a former broker who last worked for Ameriprise Financial Services, discloses a final regulatory matter resulting in a…
read moreSuzanne Charrin Investigation July 2022- Greenwood Village, CO According to available records, Suzanne Charrin , an unregistered broker previously with Woodbury Financial Services, discloses a termination from employment. The Financial…
read moreJim Driggers Investigation July 2022-Sarasota, FL According to publicly available records Jimmy Yang Driggers a currently unregistered broker who was previously with Morgan Stanley , discloses a prior customer dispute…
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