April 2020-El Paso, TX According to publicly available records of Robert Renteria (CRD#5773053) , a broker formerly employed with PFS Investments, Inc., discloses a regulatory event, a settled customer dispute and…
read moreApril 2020-Addison, TX According to publicly available records of John Leighton Mitchell (CRD#336967) , a broker with Titan Securities, discloses one final and three currently pending customer disputes. The Financial Industry…
read moreOctober 2020-Birmingham, AL According to publicly available records of Joseph Monroe Lawrence, III (CRD#5605961) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses a regulatory event and…
read moreMarch 2020- Florham Park, NJ According to publicly available records. James D. D’Meo, (CRD#1444759), a former stockbroker who last worked for Kenneth, Jerome & Co., Inc., discloses 2 regulatory events,…
read moreApril 2020- McAllen, TX The FINRA records of Ramon Esparza , a broker previously employed by Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…
read moreJune 2020 -Atlanta, GA The FINRA records of Christopher J. Wenner , a stockbroker previously registered with Peachtree Capital Corp. , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreOctober 2020-San Francisco, CA The FINRA records of James Martin Lamont , a broker who was previously employed by Whitehall-Parker Securities disclose 3 regulatory events, 10 settled customer disputes(which settled cumulatively,…
read moreFebruary 2020 -Clive, IA The FINRA records of Rodney David Potratz , a stockbroker who is currently registered with FSC Securities Corporation , disclose a $6 million pending customer dispute. The Financial Industry Regulatory…
read moreFebruary 2010-Hurst, TX According to publicly available records of Kerry D. Wills (CRD#1353739) , a stockbroker employed with First Western Securities, Inc., discloses a regulatory event resulting in a suspension and…
read moreFebruary 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121) , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…
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