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Steven Musielski – Former Cambria Capital Broker-Barred From Industry by Securities Regulator-Anaheim, CA
Steven Musielski – Former Cambria Capital Broker-Barred From Industry by Securities Regulator-Anaheim, CA 150 150 ER

Steven Musielski Investigation April 2022- Anaheim, CA The FINRA records of  Steven D. Musielski ,  a  former financial advisor who was last employed by  Cambria Capital, disclose a regulatory event, a…

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Jeffrey Kiesnoski -Concorde Investment Services Broker-Discloses $1.8M+ in Customer Suits- Livonia, MI
Jeffrey Kiesnoski -Concorde Investment Services Broker-Discloses $1.8M+ in Customer Suits- Livonia, MI 150 150 ER

Jeffrey Kiesnoski Investigation April 2022- Livonia, MI The FINRA records of Jeffrey A. Kiesnoski,  a Concorde Investment Services broker,  disclose  two prior customer disputes and two pending customer disputes. The Financial Industry…

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David Melilli- Former Cambridge Investment Broker-Barred From Industry by Securities Regulator-Moorestown, NJ
David Melilli- Former Cambridge Investment Broker-Barred From Industry by Securities Regulator-Moorestown, NJ 150 150 ER

David Melilli Investigation April 2022- Moorestown, NJ The FINRA records of  David J. Melilli ,  a  former financial advisor who was last employed by Cambridge Investment Research and Sagepoint Financial, Inc.,…

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Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA
Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA 150 150 ER

Clara Tang Investigation   April 2022-Cupertino, CA The FINRA records of  Clara Tang ,  a former stock broker with Cetera Investment Services,  disclose a prior customer dispute and 2 pending customer…

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Faith Read Xenos- MSEC Broker- Discloses Customer Dispute -Coral Gables, FL
Faith Read Xenos- MSEC Broker- Discloses Customer Dispute -Coral Gables, FL 150 150 ER

Faith Read Xenos Investigation April 2022- Coral Gables, FL According to publicly available records,  Faith Read Xenos, a broker with MSEC and Mariner Wealth Advisors in Coral Gables, FL,  discloses a  customer…

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Brett S. Ellen-Former Metric Financial Broker-Discloses $1.9M Customer Suit – Las Vegas, NV
Brett S. Ellen-Former Metric Financial Broker-Discloses $1.9M Customer Suit – Las Vegas, NV 150 150 ER

Brett Scott Ellen Investigation Updated October 2023 – Las Vegas, NV According to publicly available records  Brett S. Ellen,  an unregistered broker who was most recently employed by  Metric Financial…

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Manuel Collazo-Insigneo Securities Broker-Discloses $2.3M in Customer Settlements- San Juan, Puerto Rico
Manuel Collazo-Insigneo Securities Broker-Discloses $2.3M in Customer Settlements- San Juan, Puerto Rico 150 150 ER

Manuel Collazo Investigation April 2022- San Juan, Puerto Rico The FINRA records of Manuel Diaz Collazo,  a broker with Insigneo Securities who formerly worked for Santander Securities,  discloses 13 prior customer…

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Andres Jaraj-Insigneo Securities Broker-Discloses Settlement of Customer Dispute- Montevideo, Uruguay
Andres Jaraj-Insigneo Securities Broker-Discloses Settlement of Customer Dispute- Montevideo, Uruguay 150 150 ER

Andres Jaraj Investigation April 2022- Montevideo, Uruguay The FINRA records of Andres Jaraj,  a broker with Insigneo Advisory Securities who formerly worked for Northeast Securities, Inc.  disclose a prior customer dispute.…

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Dennis Ayre-Former Hill Top Securities Broker-Settles $1.18m+ in Customer Disputes and is Barred From Securities Industry-Beverly Hills, CA
Dennis Ayre-Former Hill Top Securities Broker-Settles $1.18m+ in Customer Disputes and is Barred From Securities Industry-Beverly Hills, CA 150 150 ER

Dennis Ayre Investigation April 2022-Beverly Hills, CA According to publicly available records Dennis Ayre,  a  former stockbroker who last worked for Hill Top Securities discloses that he has 9 prior customer complaints…

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Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY
Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY 150 150 ER

Mark Kregor Investigation March 2022- Louisville, KY The FINRA records of Mark F. Kregor,  a broker with Stifel, Nicolaus & Company who formerly worked for Robert W. Baird,  disclose a regulatory…

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