Nickolay Kukukov Investigation April 2023-New York NY According to publicly available records Nickolay Kukukov , a former broker who last worked for Paulson Investment Company, discloses a final regulatory matter a…
read moreChristopher Passero Investigation March 2023-Hurricane, WV According to publicly available records Christopher John Passero, a Money Concepts Capital Corp. broker discloses a regulatory event, prior customer dispute and a pending…
read moreAmit Bhatia Investigation March 2023-New York NY According to publicly available records Amit Kumar Bhatia , a former broker who last worked for Raymond James, discloses a final regulatory matter. The…
read moreChristopher Blumer Investigation March 2023- New York, NY The FINRA records of Michael Christopher Blumer, a former SW Financial broker who currently works for Spartan Capital Securities, disclose two pending and two prior…
read moreShad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of Shad Ketcher, a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreRobert D’Agosta Investigation March 2023- Bethlehem, PA The FINRA records of Robert D’Agosta, an IBN Financial Services, Inc. broker, disclose a a regulatory event, an arbitration award and 3 prior customer disputes.…
read moreJanie Garza-Clark Investigation March 2023-Scottsdale, AZ According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management, discloses a final regulatory matter resulting in…
read moreRobert Kristal Investigation March 2023-New York, New York The FINRA records of Robert Eugene Kristal, a broker previously employed by H.C. Wainwright & Co. , disclose a regulatory matter resulting in a…
read moreMonica Laguna Investigation March 2023-Coppell, TX According to publicly available records, Monica A. Laguna a former broker who last worked for JP Morgan, discloses a final regulatory matter resulting in a…
read moreHorizon Private Equity III Investor Losses Estimated to Exceed 25 Million According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…
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