Robert Li Investigation June 2023-Naperville, IL According to publicly available records Robert Li an LPL Financial broker, disclose pending customer disputes alleging unsuitable use of margin borrowing as a trading…
read moreMichael Melton Investigation June 2023-Troy, IL According to publicly available records Michael Lynn Melton an Edward Jones broker, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreDavid Lee Todd Investigation June 2023-Peoria, AZ According to publicly available records David Lee Todd a Wells Fargo Clearing Services broker, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreStephen Marek Investigation June 2023-Uniondale , NY According to publicly available records Stephen Marek a Joseph Gunnar & Co. broker, discloses 2 prior customer disputes and a pending customer dispute.…
read moreGary Benson Investigation June 2023-Encino, CA According to publicly available record Gary Benson, an Independent Financial Group broker discloses eight prior customer disputes and one pending customer dispute. The Financial Industry Regulatory…
read moreDerek Rehill Investigation June 2023-Garden City, NY According to publicly available records Derek John Rehill, a VCS Venture Securities broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…
read moreMirso Muharemovic Investigation June 2023-Coram, NY According to publicly available records Mirso Muharemovic, a former Arive Capital Markets broker discloses a final regulatory matter and three prior customer disputes. The Financial Industry…
read moreRobert Rich Investigation June 2023– Farmington, UT According to publicly available records, Robert Grant Rich, a broker previously with Wells Fargo Advisors Financial Network, discloses a final regulatory matter resulting him…
read moreDavid Jeffrey Morris Investigation June 2023-Chicago, IL According to publicly available records David Jeffrey Morris a former broker who last worked for Stifel, Nicolas & Company, discloses a final regulatory matter…
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