August 2021- New Orleans, LA According to publicly recorded records, Thomas J. Barone , a currently unregistered financial advisor who was last employed by NYLife Securities, discloses a regulatory event, …
read moreMay 2020- St. Augustine, FL The FINRA records of Gabriel (Gabe) William Hynes, a broker previously employed by Kestra Investment Services , disclose two regulatory events, one resulting in his bar from the…
read moreOctober 2018- Tarkio, Missouri The FINRA records of David R. Colflesh , a former stock broker who is not currently registered and who was last employed by NYLife Securities , disclose a regulatory suspension and 18 prior…
read moreJuly 2018- Fort Wayne, Indiana The FINRA records of Joel Vincent Flaningan , a former stock broker who is not currently registered and who was last employed by NYLife Securities , disclose a pending customer dispute involving…
read moreSeptember 2019-Port Washington, NY-Tampa, FL The FINRA records of David S. Silberg , a broker who previously worked for Aegis Capital Corp. disclose a prior regulatory event, 3 prior final customer disputes and…
read moreJanuary 27, 2016- Maryland Michael Roger Griffith entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted two fictitious applications…
read moreJuly 2, 2015- San Antonio, Texas Emily A. Pena , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal…
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