Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of Curtis “Curt” Wilson, a currently unregistered broker who was previously…
Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus…
Ricky Alan Mantei Investigation Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured Products July…
Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP June 2023- Austin, Texas San Diego based Madison Avenue…
Roman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans, a broker employed by Raymond James & Associates,…
Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL
Maria Acevez Perez Investigation June 2023-Miami, FL According to publicly available records Maria Acevez Perez a broker employed by VectorGlobal…
Sean Storm Boswick Investigation June 2023-New York, NY The FINRA records of Sean “Storm” Boswick, a former stock broker who was…
Crescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent…
June 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that they may be facing costs of…