David Shane Simmons Investigation April 2024-Jefferson, NC UPDATE: On April 25, 2024 the U.S. Department of Justice convicted two tax attorneys and former broker David Shane Simmons of conspiring to…
read moreApril 2024- St. Louis, MO The FINRA records of Sean Aaron Brady , a former stock broker who is not currently registered and who was last employed by First Allied Securities , disclose that he was…
read moreBob Boschke Investigation April 2024- St. Germain, WI The FINRA records of Robert “Bob” Boschke, a stockbroker previously employed by CFD Investments, Inc. and LPL Financial disclose two regulatory actions and 3…
read moreBruce Amman Investigation April 2024-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked for LPL Financial, discloses a final regulatory matter resulting in a one…
read moreScott Bremus Investigation April 2024- Dacula, GA According to publicly available records Scott Bremus, a broker previously registered with LPL Financial discloses 2 regulatory events, 2 final customer disputes and…
read moreRobert Alvarez Investigaton April 2024- Metairie, LA According to publicly available records, Robert Alvarez, a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute,…
read moreApril 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order suspending Jason N. Anderson,…
read moreJoseph “Joey” Cason Investigation April, 2024 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a broker currently employed by Triad Advisors, who was previously employed by First Allied Securities, Inc. disclose…
read moreStoneX Financial Investigation April 2024 -Winter Park, FL According to FINRA records, StoneX Financial discloses 68 sanctions imposed by securities regulators in the United States as well as several other…
read moreJames Travis Flynn Investigation April 2024-Greer , SC/ Greenville, SC Over the past 5 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
read more