• ER

Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX
Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX 150 150 ER

Doug McKelvey Investigation June  2023-Southlake, TX According to publicly available records Doug McKelvey,a former broker who last worked for Morgan Stanley,  discloses a final regulatory matter resulting in a permanent bar…

read more
  • ER

Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX
Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX 150 150 ER

Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell   a broker employed by Ameriprise Financial Services,  discloses a final customer dispute. The Financial…

read more
  • ER

Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX
Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX 150 150 ER

Howell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a  $58K customer dispute. The Financial Industry…

read more
  • ER

Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX
Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX 150 150 ER

Micheal Gianetti Investigation February 2023-McKinney, TX The FINRA records of  Micheal Gianneti,  a former MML Investor Services broker, disclose that he is permanently barred from FINRA. The Financial Industry Regulatory Authority (FINRA)…

read more
  • Robert Rex, Esq.

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient
LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient 150 150 Robert Rex, Esq.

LPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…

read more
  • Robert Rex, Esq.

Darrell Strickland-NEXT Financial Group Broker-Subject of Numerous Customer Suits-Mount Pleasant, S Carolina
Darrell Strickland-NEXT Financial Group Broker-Subject of Numerous Customer Suits-Mount Pleasant, S Carolina 150 150 Robert Rex, Esq.

Darrell H. Strickland Investigation October 2022- Mount Pleasant, South Carolina The FINRA records of  Darrell Horace Strickland,  a  stock broker employed by NEXT Financial Group ,  disclose a pending customer dispute, a prior customer…

read more
  • Robert Rex, Esq.

Morgan Hill – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Woodstock, GA
Morgan Hill – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Woodstock, GA 150 150 Robert Rex, Esq.

Morgan Darby Hill/GWG L-Bond Investigation   October 2022- Woodstock, GA  According to publicly available records Morgan Darby Hill,  a broker formerly employed by Center Street Securities,  discloses a pending customer suit…

read more
  • Robert Rex, Esq.

Michael Mandarino- G.A. Repple Broker-Customer Disputes Over GWG L-Bonds-Apollo Beach, FL
Michael Mandarino- G.A. Repple Broker-Customer Disputes Over GWG L-Bonds-Apollo Beach, FL 150 150 Robert Rex, Esq.

Michael Mandarino G.A. Repple & Co./ GWG L-Bond   Investigation October 2022- Apollo Beach, Florida The FINRA records of  Michael W. Mandarino  ,  a broker with G.A. Repple and Company,  disclose recently a…

read more
  • ER

Michael Reither – Former Dominion Investor Broker- Discloses Regulatory Event and Termination -St. Louis, MO
Michael Reither – Former Dominion Investor Broker- Discloses Regulatory Event and Termination -St. Louis, MO 150 150 ER

Michael Reither Investigation September 2022- St. Louis, MO  According to publicly available records,  Michael Earl Reither,  who is not currently registered with any FINRA registered broker dealer , discloses a regulatory event,…

read more
  • ER

Arthur Frank Wagner – Dominion Investor Broker- Discloses Tax Lien -Corpus Christi, TX
Arthur Frank Wagner – Dominion Investor Broker- Discloses Tax Lien -Corpus Christi, TX 150 150 ER

Frank Wagner Investigation September 2022- Corpus Christi, TX According to publicly available records,  Arthur Frank Wagner,  a Dominion Investor Services, Inc. broker, discloses an IRS tax lien. The Financial Industry Regulatory Authority (FINRA) is the…

read more
Enter your
text here

You cannot copy content of this page