April 2021- Des Moines, IL According to publicly available records John Krohn (CRD#2722975), a former stockbroker who last worked for Principal Securities, Inc. discloses a regulatory event , 3 pending…
read moreMay 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor , a former stockbroker who last worked for Raymond James Financial , disclose a recent regulatory event…
read moreSeptember 2019-Highland Ranch, CO The FINRA records of Scott P. Kozak , a unregistered broker who was last employed by Cetera Advisors disclose a recent regulatory event, 4 prior customer disputes and…
read moreMarch 2019- Charlotte, N. Carolina According to FINRA records, Dennis Allen Hayes , a stock broker who is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…
read moreApril 2018-New York Arthur R. Meunier (a/k/a Robert Breitman, a/k/a Robert Meunier-Breitman) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) agreeing…
read moreSeptember 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a former stockbroker who was last employed by Girard Securities , disclose a prior regulatory event, 3 prior customer disputes and a…
read moreSeptember 2017 -Wayne, PA According to publicly available records Paul W. Smith (CRD#1070735) , a former stockbroker who was last registered with Bolton Global Capital , disclose a final regulatory event , 7 pending customer…
read moreMay 2017-Southlake, TX The FINRA records of Patrick D. Combs , a stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…
read moreDecember 2016-Pompano Beach, FL According to publicly available records Mark R. Holcombe , (CRD# 2901441) , a stockbroker who is currently under suspension who was last employed by Source Capital Group, disclose a recent regulatory…
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