September 2021-McAllen, Texas The FINRA records of Enrique Lopez, a broker who is currently employed by Arkadios Capital disclose 4 customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreAugust 2021- Lisle, IL According to publicly available records, Raymond Velasco, Sr., a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…
read moreJuly 2021– Louisville, KY The FINRA records of Donald Stephen Woods, a former stockbroker who was last employed by Thurston Springer Financial , disclose a final regulatory event, 11 settled customer disputes and…
read moreNovember 2020- Louisville, KY According to publicly available records Michael Mountjoy (CRD#4421573), an unregistered broker who last worked for LPL Financial, discloses a regulatory event and a termination from employment.…
read moreNovember 2020- Baton Rouge, LA According to publicly available records, former LPL Financial advisor Patrick Coogan, has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…
read moreJanuary 2020-McAllen & Brownsville, TX According to publicly available records Yvonne L. Silguero (CRD#4895654) , a stockbroker who works for LPL FInancial discloses 2 pending customer disputes. The Financial Industry Regulatory…
read moreFebruary 2019 – Baton Rouge, LA According to publicly available records Justin Brian Mitchell (CRD# 5177794) , a stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…
read moreFebruary 2019- Orlando, FL According to publicly available records Bradley T. Pace (CRD#2097427) , a stockbroker previously registered with LPL Financial, disclose a regulatory event and 2 prior customer disputes. The Financial Industry Regulatory…
read moreFebruary 2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459) a stockbroker previously employed by BCG Securities, Inc., discloses a regulatory event, a civil event, 3 customer…
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