Wade Theo Papas Investigation April 2023-New York, NY According to publicly available records Wade Theo Papas, a former National Securities Corporation broker discloses 2 pending customer disputes. The Financial Industry Regulatory…
read moreApril 2021 – New York According to publicly available records, former Laidlaw & Company financial advisor Kevin R. Wilson discloses 7 pending customer disputes and 4 prior customer disputes, all…
read moreMay 2017-Westbury, New York The FINRA records of Douglas E. Duncan , a stockbroker who is currently registered with PHX Financial and Scottrade, Inc. disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreFebruary 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) , a former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…
read moreUPDATE MARCH 2018-Joseph M. Thurnherr is now employed by Spartan Capital Securities and has another customer dispute disclosed on his BrokerCheck report. See this for details. Meyers Associates is now …
read moreJuly 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis , a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose 2 prior regulatory events, 4 prior finalized customer disputes and 2…
read moreJuly 2016- New York The FINRA records of Maximillian Santos , a stock broker who most recently worked for Blackbook Capital, LLC , disclose a currently pending regulatory matter, a prior final regulatory event and a termination from employment.…
read moreJuly 2016- Boca Raton, FL The FINRA records of Pranav V. Patel (CRD 5391213), a stock broker who formerly was employed by Dawson James Securities , disclose that he was recently named in a customer dispute. In…
read moreUPDATE SEPTEMBER 2016-FINRA named Glen J. Rauch in a complaint alleging that following his termination from registration(see below) he repeatedly sent abusive, obscene, intimidating and threatening messages to a principal of…
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