• ER

Steven Martin Barnett- Former LPL Broker-Discloses Regulatory Event and Customer Dispute- Jacksonville, FL
Steven Martin Barnett- Former LPL Broker-Discloses Regulatory Event and Customer Dispute- Jacksonville, FL 150 150 ER

Steven 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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  • ER

Valentino Michael Scott- Centaurus Financial Broker-Discloses Award and Pending Customer Disputes- West Hills, CA
Valentino Michael Scott- Centaurus Financial Broker-Discloses Award and Pending Customer Disputes- West Hills, CA 150 150 ER

Valentino Michael Scott Investigation June 2023- West Hills, CA The FINRA records of  Valentino Michael Scott, a  Centaurus Financial, Inc. broker, disclose  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Texas Securities Regulator Fines Robinhood Financial For System Outages & Faulty Supervision-Austin, TX
Texas Securities Regulator Fines Robinhood Financial For System Outages & Faulty Supervision-Austin, TX 150 150 Robert Rex, Esq.

Robinhood Financial Sanctioned by Texas Securities Regulator  Austin, TX-June 2023 The Texas State Securities Board (TSSB) entered into a Consent Order with Robinhood Financial LLC, a registered broker dealer headquartered…

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Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL
Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL 150 150 ER

Clinton Byrd Investigation June  2023-Tallahassee, FL According to publicly available records Clinton Byrd, a broker previous employed by Cantella & Co., discloses a regulatory suspension, settlement of a  customer dispute…

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  • ER

John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL
John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL 150 150 ER

John “JC” Carroll Investigation June  2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by  Vanderbilt Securities,  discloses a final regulatory matter…

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  • ER

Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX
Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX 150 150 ER

Kenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…

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  • ER

Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX
Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX 150 150 ER

Chris Arnold Investigation June  2023-Houston, TX According to publicly available records Chris Arnold a former broker who last worked for USCA Securities,  discloses a regulatory matter resulting in a permanent bar…

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  • ER

Chris “Kit” Hartman – Former Kovack Securities Broker- Has Three Pending Customer Disputes-Santa Barbara, CA
Chris “Kit” Hartman – Former Kovack Securities Broker- Has Three Pending Customer Disputes-Santa Barbara, CA 150 150 ER

Chris “Kit” Hartman Investigation June 2023 – Ft Lauderdale, FL According to publicly available records  Chris “Kit” Hartman,  a  stockbroker previously employed by Kovack Securities,  discloses 3 pending customer disputes. The…

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  • Robert Rex, Esq.

Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina
Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina 150 150 Robert Rex, Esq.

Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records  Ashley Charles Woodard  ,  a  stockbroker previously employed by VOYA Financial,  discloses 16 prior customer dispute…

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  • ER

Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY
Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY 150 150 ER

Kenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott,  discloses a final regulatory matter resulting in…

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