Gustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records Gustavo Miramontes, a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…
read moreTravis Eiland/ Avantax Wealth Management Investigation February 2024-Baytown, TX According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest,…
read moreJonathon Ebel Investigation January 2024-Hauppauge, NY According to publicly available record Jonathon Ebel, a Network 1 Financial Securities broker discloses three prior customer disputes and two pending customer disputes. The Financial Industry…
read moreKenneth A. Luccioni Investigation January 2024-Park Ridge, IL The FINRA records of Kenneth A. Luccioni, a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…
read moreJanuary 2024-Plano, TX The FINRA records of Richard (“Rick”) E. Poston , a stockbroker who last worked for H. Beck (now known as Grove Point Investments) in Plano, TX, discloses a pending…
read moreJanuary 2024 – Clearwater, FL According to publicly available records William B. Gordon (CRD# 2127800) , a registered stockbroker currently employed by Kovack Securities disclose a prior regulatory event and 12 prior…
read moreIvan Shore Investigation January 2024- New York, NY According to his FINRA record Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…
read moreJanuary 2024, Houston, Texas Moody Securities, LLC, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it violated FINRA rules governing…
read moreJohn Egan Investigation January 2024– Glendora, CA According to publicly available records John Kevin Egan an unregistered broker previously employed by Western International Securities, discloses 4 pending customer disputes and 3…
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