Kenneth A. Luccioni Investigation January 2024-Park Ridge, IL The FINRA records of Kenneth A. Luccioni, a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…
read moreJanuary 2024-Plano, TX The FINRA records of Richard (“Rick”) E. Poston , a stockbroker who last worked for H. Beck (now known as Grove Point Investments) in Plano, TX, discloses a pending…
read moreJanuary 2024, Houston, Texas Moody Securities, LLC, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it violated FINRA rules governing…
read moreBrian Wurdermann Investigation Updated December 2023 New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets, discloses a regulatory matter resulting…
read moreKirk Badii Investigation December 2023 update Southlake, TX The FINRA records of Kirk Badii, a stockbroker who previously worked for UBS Financial Services , disclose setlement of a customer dispute and 2 terminations from…
read moreUpdated December 2023 Dunmore, PA The FINRA records of Charles J. Ehnot , a stock broker employed by Supreme Alliance LLC, disclose 30 prior customer disputes and two outstanding IRS tax liens.…
read moreSeptember 2023- Dallas, Texas According to publicly available records Douglas L. Hodges , (CRD# 4253217) , a stockbroker who is not currently registered as a stockbroker and who was last employed…
read moreJames Bernthal Investigation June 2023-New York, NY According to publicly available records James R. Bernthal a broker with Aegis Capital Corp., discloses 3 prior and a pending customer dispute. The…
read moreMark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with LPL Financial discloses four prior customer disputes and one pending customer dispute.…
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