January 2019 – Baton Rouge, LA According to publicly available records Michael Edward Olinde (CRD# 3063204) , a registered stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…
read moreFebruary 2018-Jacksonville, FL According to publicly available records Melvin E. Case , (CRD# 2393464) , a former stockbroker who last worked for LPL Financial LLC, discloses that he was recently sanctioned by securities regulators…
read moreApril 2017-Dallas, Texas The FINRA records of Marcos Yanez , a former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…
read moreApril 2017 – Houston, TX According to publicly available records Nghi Thanh Ho, (CRD#2327672) , a stockbroker who is currently registered with IMS Securities discloses one pending customer dispute and a separation from employment. The Financial Industry…
read moreMarch 2017-Pompano Beach, FL According to publicly available records Leon Paul Rehak , (CRD# 2331058) , a stockbroker who presently works for LPL Financial, discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreNovember 2016-Mesa, AZ The FINRA records of Dominic T. DeBruin, a former stockbroker with LPL Financial, disclose that he has been permanently barred from acting as a broker or otherwise associating with…
read moreJuly 2016-Newport News, VA The FINRA records of Steve D. Heath , a stock broker who is currently employed by Capitol Securities Management , disclose 2 terminations and one final financial event. The Financial Industry Regulatory Authority (FINRA) is…
read moreBrent Van Lott Investigation October 2022- Orem, Utah According to FINRA records, Brent Van Lott , a stock broker who is not currently and who was last employed by MHL Investments , discloses a regulatory event,…
read moreUPDATE ON CHARLES FACKRELL-December 2016-Charles Fackrell, 37, of Booneville, N. Carolina was sentenced to 63 months in jail according to the U.S. Attorney’s Office for operating a $1.4 million Ponzi…
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