• ER

Barbara Borowsky-Dempsey Lord Smith Broker- Discloses Customer Dispute-Rome, GA
Barbara Borowsky-Dempsey Lord Smith Broker- Discloses Customer Dispute-Rome, GA 150 150 ER

Barbara Borowsky Investigation June 2023 – Rome, GA According to publicly available records Barbara Borowsky ,  a broker with Dempsey, Lord, Smith discloses a pending customer dispute The Financial Industry Regulatory…

read more
  • ER

Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA
Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA 150 150 ER

Howard Woo Investigation June 2023 – Irvine, CA  According to publicly available records  Howard Woo ,  a broker with UBS Financial Services, Inc.  discloses a pending customer dispute The Financial Industry…

read more
  • ER

Justine Tobin – Tobin & Co. Securities Broker- Has $5M in Pending Customer Disputes -Charlotte, NC
Justine Tobin – Tobin & Co. Securities Broker- Has $5M in Pending Customer Disputes -Charlotte, NC 150 150 ER

Justine Tobin Investigation June 2023 – Charlotte, NC According to publicly available records  Justine Tobin, of  Tobin & Company Securities , discloses 2 pending customer disputes. The Financial Industry Regulatory…

read more
  • ER

Cynthia Barreira – NYLife Securities Broker- Has Pending Customer Dispute Over Annuity Recommendation-Knoxville, TN
Cynthia Barreira – NYLife Securities Broker- Has Pending Customer Dispute Over Annuity Recommendation-Knoxville, TN 150 150 ER

Cynthia Barriera Investigation June 2023 – Knoxville, TN According to publicly available records  Cynthia Barreira,  a  NYLife Securities broker, discloses a pending customer dispute in connection with the purchase of annuities.…

read more
  • ER

James V. Peters – Centaurus Financial Broker- Has Pending Customer Dispute-Irvine, CA
James V. Peters – Centaurus Financial Broker- Has Pending Customer Dispute-Irvine, CA 150 150 ER

James V. Peters Investigation June 2023 – Irving , CA According to publicly available records  James V. Peters,  a  Centaurus Financial broker, discloses a pending customer dispute. The Financial Industry…

read more
  • ER

Dennis Thurman – Arete Wealth Management Broker- Customer Suit over GWG L-Bonds -Sioux Falls, South Dakota
Dennis Thurman – Arete Wealth Management Broker- Customer Suit over GWG L-Bonds -Sioux Falls, South Dakota 150 150 ER

Dennis Thurman Investigation June 2023 -Sioux Falls, S. Dakota According to publicly available records  Dennis Thurman,  a  broker who works for Arete Wealth Management,  discloses a pending customer dispute involving GWG…

read more
  • ER

Mark Stewart-M Stevens Securities Broker- Has Customer Suit over GWG L-Bonds-Irvine, CA
Mark Stewart-M Stevens Securities Broker- Has Customer Suit over GWG L-Bonds-Irvine, CA 150 150 ER

Mark Stewart Investigation June 2023 – Irvine, CA According to publicly available records Mark Stewart , a broker with  M Stevens Securities, discloses a pending customer dispute involving GWG L-Bonds. The…

read more
  • ER

John Orlando-Former SW Financial Broker- Customer Disputes Resolved for More Than $1.2M – Ft. Lauderdale, FL
John Orlando-Former SW Financial Broker- Customer Disputes Resolved for More Than $1.2M – Ft. Lauderdale, FL 150 150 ER

John A. Orlando Investigation June 2023 – Ft. Lauderdale, FL According to publicly available records  John Anthony Orlando ,  a  stockbroker previously employed by SW Financial,  discloses 2 regulatory events, 5 prior…

read more
  • ER

Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA
Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA 150 150 ER

Gary Benson Investigation June 2023-Encino, CA According to publicly available record Gary Benson, an Independent Financial Group broker discloses eight prior customer disputes and one pending customer dispute. The Financial Industry Regulatory…

read more
Enter your
text here

You cannot copy content of this page