finra investigation of stock broker

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Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA
Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA 150 150 ER

Edward Turley Investigation March 2023– San Francisco, CA According to publicly available records,  Edward L. Turley, a broker previously with JP Morgan in San Francisco, CA,  discloses 8 prior customer complaints, 2 pending…

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Suzanne Charrin- Former Woodbury Financial Services Broker- Discloses Termination of Employment, Greenwood Village, CO
Suzanne Charrin- Former Woodbury Financial Services Broker- Discloses Termination of Employment, Greenwood Village, CO 150 150 ER

Suzanne 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…

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Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX
Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX 150 150 ER

Mark Menard Investigation July 2022- Houston, TX According to available records,  Mark Menard, a broker previously with Merrill Lynch, Pierce, Fenner & Smith, who now works for Cantella & Co.,…

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Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX
Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX 150 150 ER

Joe Allbright Investigation June 2022- Odessa, TX According to publicly available records,  Joe M. Allbright, a currently unregistered broker, who last worked for Farmers Financial Solutions in Odessa, TX ,  discloses a regulatory…

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Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX
Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX 150 150 ER

Chris McFadden Investigation June 2022- Dallas, TX According to publicly available records,  Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX ,  discloses…

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Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY
Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY 150 150 ER

Dennis Riordan Investigation May 2022- Greenwich, CN According to publicly available records,  Dennis Riordan, a Wynston Hill Capital broker  in Bronx, NY ,  discloses 3 regulatory events and  3 final customer complaints.…

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  • Robert Rex, Esq.

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator
Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator 150 150 Robert Rex, Esq.

September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…

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  • Robert Rex, Esq.

Global Arena Capital -FINRA Cancels Registraion
Global Arena Capital -FINRA Cancels Registraion 150 150 Robert Rex, Esq.

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees.  The company…

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