Gerardo Castillo Investigation March 2023-Miami, FL According to publicly available records Gerardo I. Castillo, a broker who currently is working with Insigneo Services and before that, Wells Fargo, discloses settlement of…
read moreKaren S. Cunningham Investigation March 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham, a broker with Kestra Investment Services, discloses a pending customer suit. The Financial…
read moreGreg Koalska Investigation March 2023- Oakdale, MN The FINRA records of Greg Koalska, a currently unregistered stock broker formerly employed by Cambridge Investment Research. , disclose 2 regulatory events, , a…
read moreBrett Rutherford Investigation March, 2023 – Raleigh, NC The FINRA records of Brett Rutherford, a Capital Investment Group, Inc. broker, disclose a pending customer dispute involving GWG Holdings Inc.. The Financial Industry…
read moreJohn Moy Investigation March 2023-Boca Raton, FL The FINRA records of John Kirkland Moy, an Newbridge Securities Corporation broker, discloses 3 final customer disputes, a pending customer dispute and two terminations from employment.…
read moreRobert Turner Investigation March 2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr. , (CRD# 2113736 ), a stockbroker who formerly worked with UBS Financial Services, Inc. discloses 7…
read moreAnnetta Marie Box Investigation February 2023- Dallas, TX According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research, discloses a final regulatory matter resulting…
read moreRaymond Jennison, Jr. Investigation February 2023-Dallas, TX According to publicly available records, Raymond Jennison, Jr. a former broker who last worked for First Canterbury Securities, Inc., discloses a final regulatory matter…
read moreDarrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Patrick Roberts, a former broker who last worked for Spire Securities, discloses a final regulatory matter resulting…
read moreCrystal Turk Investigation February 2023 – Dallas, TX According to publicly attained records, Crystal Turk, a stockbroker who was last employed by JP Morgan Securities , discloses a 2 month regulatory…
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