Jon Ellefson Investigation February 2023- Harker Heights, TX According to publicly available records Jon Ellefson a broker employed by Intervest International Equities Securities, discloses three settled customer disputes and two…
read moreDustin Goss Investigation February 2023 – Austin, TX According to publicly available records Dustin Goss, a former broker who last worked for Park Avenue Services, discloses a final regulatory matter resulting…
read moreDoug McKelvey Investigation June 2023-Southlake, TX According to publicly available records Doug McKelvey,a former broker who last worked for Morgan Stanley, discloses a final regulatory matter resulting in a permanent bar…
read moreJennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX
Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell a broker employed by Ameriprise Financial Services, discloses a final customer dispute. The Financial…
read moreHowell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a $58K customer dispute. The Financial Industry…
read moreMicheal Gianetti Investigation February 2023-McKinney, TX The FINRA records of Micheal Gianneti, a former MML Investor Services broker, disclose that he is permanently barred from FINRA. The Financial Industry Regulatory Authority (FINRA)…
read moreDarrell H. Strickland Investigation October 2022- Mount Pleasant, South Carolina The FINRA records of Darrell Horace Strickland, a stock broker employed by NEXT Financial Group , disclose a pending customer dispute, a prior customer…
read moreMorgan Darby Hill/GWG L-Bond Investigation October 2022- Woodstock, GA According to publicly available records Morgan Darby Hill, a broker formerly employed by Center Street Securities, discloses a pending customer suit…
read moreMichael Mandarino G.A. Repple & Co./ GWG L-Bond Investigation October 2022- Apollo Beach, Florida The FINRA records of Michael W. Mandarino , a broker with G.A. Repple and Company, disclose recently a…
read moreMichael Reither Investigation September 2022- St. Louis, MO According to publicly available records, Michael Earl Reither, who is not currently registered with any FINRA registered broker dealer , discloses a regulatory event,…
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