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Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC
Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC 150 150 ER

Margaret Suite-Arnold Investigation November 2021-China Grove, NC According to FINRA records  Margaret Suite-Arnold, a financial advisor employed as a registered broker by FSC Securities Corporation  discloses a pending customer dispute.…

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Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC
Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC 150 150 ER

Andrew “Andy” Durham Investigation November  2021-Greenwood, SC According to publicly available records. Andy T. Durham , a stockbroker formerly employed by Allstate Financial Services  discloses a regulatory suspension. The Financial Industry…

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  • Robert Rex, Esq.

Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest
Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest 150 150 Robert Rex, Esq.

Hancock Whitney Investment Services Investigation November 2021 Hancock Whitney Investment Services was fined and ordered to pay disgorgement and restitution over $2.4 million dollars by regulators for conflicts of interest related…

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  • Robert Rex, Esq.

Robin Platt Investigation-Subject of Million Dollar Suit Over Northstar Financial Services -Covington, LA
Robin Platt Investigation-Subject of Million Dollar Suit Over Northstar Financial Services -Covington, LA 150 150 Robert Rex, Esq.

Robin Platt Investigation November 2021-Covington, LA According to FINRA records  Robin V. Platt, a financial advisor employed as a registered broker by Hancock Whitney Investment Services discloses a multi-million dollar suit…

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  • Robert Rex, Esq.

Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold $7.8M of Unsuitable REITs- Westlake Village, CA
Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold $7.8M of Unsuitable REITs- Westlake Village, CA 150 150 Robert Rex, Esq.

Megurditch “Mike” Patatian Investigation November 2021- Westlake Village, CA According to publicly available records,  Mike Patatian a former broker who was last employed by Western International Securities, Inc. discloses a pending…

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  • Robert Rex, Esq.

Joseph Michaletz-DAI Securities Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Mankato, MN
Joseph Michaletz-DAI Securities Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Mankato, MN 150 150 Robert Rex, Esq.

Joseph Michaletz Investigation November 2021-Mankato, MN According to publicly available records Joseph G. Michaletz  ,  a  stockbroker who is currently registered with DAI Securities,  disclose 3 currently pending customer disputes…

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  • Robert Rex, Esq.

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ
Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ 150 150 Robert Rex, Esq.

Guilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records,  Guilford Nergard,  a currently unregistered  financial advisor who previously was employed by Raymond James discloses a regulatory event ,…

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Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD
Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD 150 150 ER

Eladio Santiago Investigation November 2021- Fulton, MD According to publicly available records Eladio Arturo Santiago,  a broker with Cambridge Investment Research broker discloses 2 customer disputes. The Financial Industry Regulatory Authority…

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Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN
Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN 150 150 ER

Richard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services,  discloses a settled customer dispute and a pending customer…

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