Jason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…
read moreKurt R. Baldry Investigation May 2022- Ostego, MN According to publicly recorded records, Kurt Russell Baldry, a broker with Ausdal Financial Services discloses a pending customer dispute and 2 prior…
read moreLosses on GWG L-Bonds Purchased From Centaurus Financial? As we have previously posted, see link ( GWG L-Bonds. We can help ), given the fact that GWG Holdings has recently…
read moreGWG Holdings L Bonds Recovery Options For Investors Did you invest in GWG L Bonds ? If you invested in GWG L Bonds products you should know that…
read moreMichael J. Giannetti Investigation May 2022-McKinney , TX According to publicly available records Michael J. Giannetti, a former broker who last worked for MML Investors Services, discloses a final regulatory matter resulting…
read moreEduardo Da Cruz Investigation May 2022-Miami, FL The FINRA records of Eduardo Moliterno Da Cruz, a broker with EFG Capital International, disclose a pending customer dispute. The Financial Industry Regulatory Authority…
read moreLast Updated: October 2023 (Baton Rouge, LA) Bill Poulter Investigation Summary Here’s what you need to know about Baton Rouge, LA, stockbroker Bill Poulter: Name: Mr. William John Poulter Current…
read moreJack “JJ” Jones Investigation May 2022- Houston, TX According to publicly available records, Jack Lewis “JJ” Jones, a Triad Advisors broker discloses a regulatory sanction, 2 prior customer disputes and…
read moreGregg Ferguson Investigation May 2022- Bellville, TX According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…
read moreDerek Johnson Investigation THIS POST UPDATED JULY 2025-FOLLOW LINK May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P.…
read more