Francisco Valenzuela Investigation February 2024- Phoenix, AZ According to FINRA records, Francisco J. Valenzuela , a former broker who previously worked for Morgan Stanley , discloses 2 regulatory events, 4 prior…
read moreRobert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI
Robert David Investigation February 2024- Farmington Hills, MI According to FINRA records, Robert C. David, Jr. , a broker who previously worked for Morgan Stanley , discloses a regulatory event,…
read moreJon Ellefson & GWG L-Bond Investigation February 2024-Harker Heights, TX The FINRA records of Jonathan Eric Ellefson, an Intervest International Equities Corp. broker was recently named in a FINRA arbitration by a…
read moreGlenn E. Brandon Investigation February 2024- Birmingham, AL The FINRA records of Glenn Edward Brandon, a former broker who was last employed by BB&T Securities disclose a final regulatory matter resulting…
read moreFebruary 2024- Sewickley, PA According to publicly available records Scott Eugene Shoup (CRD#1874559) , a stockbroker who is currently registered Cetera Advisor Networks, disclose 1 pending and 4 final customer disputes.…
read moreStacy Mari Goldsmith Investigation February 2024– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes and…
read moreTravis Eiland/ Avantax Wealth Management Investigation February 2024-Baytown, TX According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest,…
read moreJanuary 2024- San Antonio, Texas According to publicly available records Gary C. Haack (CRD#2796834) , a stockbroker who currently is employed by Corecap Investments , discloses 2 prior customer disputes. The Financial Industry Regulatory…
read moreJonathon Ebel Investigation January 2024-Hauppauge, NY According to publicly available record Jonathon Ebel, a Network 1 Financial Securities broker discloses three prior customer disputes and two pending customer disputes. The Financial Industry…
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