July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc., discloses 3 regulatory events, 7 final customer disputes,…
read moreJuly 2021– Louisville, KY The FINRA records of Donald Stephen Woods, a former stockbroker who was last employed by Thurston Springer Financial , disclose a final regulatory event, 11 settled customer disputes and…
read moreJuly 2021- NYC According to his FINRA record Michael Androulakis, a financial advisor employed by Alexander Capital discloses 2 regulatory events and 4 customer disputes. The Financial Industry Regulatory Authority…
read moreRichard Demetriou Investigation Former Titan Securities Financial Advisor June 2021 – Addison, TX According to publicly available records, former Titan Securities, financial advisor Richard Demetriou, has been barred from the securities…
read moreApril 2021- New York, NY According to publicly available records David W. Fenning (CRD#1005307), a stockbroker who works for Morgan Stanley Smith Barney discloses 4 settled customer disputes and 1…
read moreApril 2021- Burr Ridge, IL According to publicly available records, former Transamerica Financial Advisors, Inc. financial advisor Steven Harris, discloses two regulatory events, a termination and has been barred from the…
read moreJanuary 2021- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by Cetera Advisors, disclose 4 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreDecember 2020– Bristol, TN The FINRA records of Peter David Holler , a stock broker who was last employed by Securities Service Network , disclose six final customer disputes involving the allegedly fraudulent Woodbridge…
read moreDecember 2020-Amarillo, Texas According to a press release from the Department of Justice, Northern District of Texas, Heather M. Cooper, 40 , a former banker with FirstCapital Bank of Texas…
read moreDecember 2020- Holbrook, NY According to publicly available records Jeffrey Alan Blutstein (CRD#1398688), a former stockbroker who last worked for American Portfolios Financial Services, discloses a regulatory event and a…
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