Crescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent Securities Group (CRD 114993) was censured and fined $30,000 for…
read moreJune 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that they may be facing costs of up to $32 million in connection with a recent flurry…
read moreOppenheimer Hit with $36M Arbitration Award Attempt to Have It Set Aside Fails June 2023 – Atlanta, GA In September 2022 a FINRA arbitration panel awarded $36 million…
read moreLuis Paredes Calvo Investigation June 2023-San Juan, PR According to publicly available records Luis Paredes Calvo, Insigneo Services (aka Citi International Financial Services) broker, discloses a pending $5 million customer…
read moreVictor A. Rigoni III Investigation June 2023-Lake Forest, IL The FINRA records of Victor A. Rigoni III , a broker previously with Summit Brokerage Services, disclose a FINRA suspension, 5 prior customer…
read moreDimitry Tikhonov Investigation Recommended GPB, Behringer Harvard REIT, Adageo Petrobonds June 2023- Torrance, CA The FINRA records of Dimitry Tikhonov, a Madison Avenue Securities broker, disclose a prior customer dispute and pending customer…
read moreLast Updated: October 2023 (Center Valley, PA) Kevin Houser Investigation Summary Here’s what you need to know about Center Valley, PA, stockbroker Kevin Houser: Name: Mr. Kevin Douglas Houser Current…
read more“Rob” Eisenberg Investigation June 2023- Vienna, VA The FINRA records of Robert “Rob” Eisenberg , a stockbroker employed by Lincoln Financial Advisors Corporation disclose a pending customer dispute. The Financial Industry Regulatory…
read moreSteven Martin Barnett Investigation June 2023- Jacksonville, FL The FINRA records of Stephen Martin Barnett , a stockbroker who was previously employed by LPL Financial disclose a regulatory matter, a customer…
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