• ER

John Tweardy- Former H. Beck Broker- Discloses $1.25M Prior Customer Dispute and Termination of Employment- Canonsburg, PA
John Tweardy- Former H. Beck Broker- Discloses $1.25M Prior Customer Dispute and Termination of Employment- Canonsburg, PA 150 150 ER

John Tweardy Investigation May, 2022 – Canonsburg, PA The FINRA records of John Tweardy  , a former stockbroker who was last employed by H. Beck, Inc. , discloses settlement of a customer dispute and a…

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  • ER

Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA
Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA 150 150 ER

Mark Payne Investigation May 2022- Roseville, CA According to publicly available records,  Mark Christopher Payne, a broker with Morgan Stanley discloses a recently filed a FINRA case in which the customer is…

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George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO
George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO 150 150 ER

George L. McCaffrey Investigation May 2022 – Englewood, CO According to publicly available records, George Louis McCaffrey, a former stockbroker who was last employed by NTB Financial Corporation (formerly Neidiger…

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Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL
Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL 150 150 ER

Edmund P. Murphy Investigation May 2022- Naples, FL According to publicly available records Edmund “Eddie” P. Murphy,  a broker previously registered with Robert W. Baird & Co., discloses a final…

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  • ER

Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA
Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA 150 150 ER

Elizabeth Layne Investigation May 2022- Atlanta, GA According to publicly available records Elizabeth M. Layne (aka Elizabeth Muse Hearn & Elizabeth Anne Muse) a  broker with Morgan Stanley Smith Barney discloses a large…

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Dwayne “Matt” Bullen -Former Worden Capital Broker-Subject of $1.27M + Customer Suit -Mineola, NY
Dwayne “Matt” Bullen -Former Worden Capital Broker-Subject of $1.27M + Customer Suit -Mineola, NY 150 150 ER

Dwayne “Matt” Bullen Investigation May 2022-Mineola, NY The FINRA records of  Dwayne J. Bullen ,  a stockbroker who was previously registered with  Worden Capital Management,  disclose a  pending customer dispute. The…

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Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY
Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY 150 150 ER

Dennis Riordan Investigation May 2022- Greenwich, CN According to publicly available records,  Dennis Riordan, a Wynston Hill Capital broker  in Bronx, NY ,  discloses 3 regulatory events and  3 final customer complaints.…

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Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI
Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI 150 150 ER

Todd Sivak Investigation May 2022- Oconomowoc, WI According to publicly available records, Todd W. Sivak, an LPL Financial broker discloses pending customer dispute filed during his employment with MML Investors…

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Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA
Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA 150 150 ER

Antoine Souma Investigation May  2022-Beverly Hills, CA According to publicly available records Antoine Nabih Souma, a broker with Insigneo Advisory Services discloses a regulatory event, a prior customer dispute and a…

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Jason Garofalo- Ameriprise Broker- Discloses One Final and Pending & Prior Customer Disputes -Las Vegas, NV
Jason Garofalo- Ameriprise Broker- Discloses One Final and Pending & Prior Customer Disputes -Las Vegas, NV 150 150 ER

Jason Garofalo Investigation May 2022- Las Vegas, NV According to publicly available records,  Jason L. Garofalo, a broker with Ameriprise Financial in Las Vegas, NV,  discloses a  customer complaint. The Financial Industry…

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