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John Moy- Newbridge Securities Broker- Discloses Customer Disputes and Two Terminations From Employment- Boca Raton, FL
John Moy- Newbridge Securities Broker- Discloses Customer Disputes and Two Terminations From Employment- Boca Raton, FL 150 150 ER

John Moy Investigation March 2023-Boca Raton, FL  The FINRA records of John Kirkland Moy, an Newbridge Securities Corporation broker, discloses 3 final customer disputes,  a pending customer dispute and two terminations from employment.…

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Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas
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Robert Turner Investigation March  2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr.  , (CRD# 2113736 ),  a  stockbroker who formerly worked  with UBS Financial Services, Inc.   discloses 7…

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Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX
Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX 150 150 ER

Annetta Marie Box Investigation February  2023- Dallas, TX According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research,  discloses a final regulatory matter resulting…

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Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX
Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX 150 150 ER

Raymond Jennison, Jr.  Investigation February 2023-Dallas, TX  According to publicly available records, Raymond Jennison, Jr.  a former broker who last worked for First Canterbury Securities, Inc.,  discloses a final regulatory matter…

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Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX
Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX 150 150 ER

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Patrick Roberts, a former broker who last worked for Spire Securities,  discloses a final regulatory matter resulting…

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Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX
Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX 150 150 ER

Ernest Frerking Investigation February 2023- Austin, TX According to publicly availble records Ernest Frerking, a former broker who last worked for Merrill Lynch,  discloses a final regulatory matter resulting in a permanent…

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Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX
Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX 150 150 ER

Kyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren,  a stock broker previously employed by NYLife Securities,  disclose 2 regulatory events and a termination from employment. The…

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Derick Strickland – Former Allstate Financial Services Broker -Barred From Securities Industry by Regulators -Houston, TX
Derick Strickland – Former Allstate Financial Services Broker -Barred From Securities Industry by Regulators -Houston, TX 150 150 ER

Derick Strickland Investigation February 2023 – Houston, TX According to publicly available records Derick Strickland,a former broker who last worked for Allstate Financial Services,  discloses a final regulatory matter resulting in…

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Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX
Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX 150 150 ER

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Roberts,a former broker who last worked for Spire Securities,  discloses a final regulatory matter resulting in a…

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Scott Burford-Former Hilltop Securities Broker-Discloses Regulatory Event and Termination-Dallas, TX
Scott Burford-Former Hilltop Securities Broker-Discloses Regulatory Event and Termination-Dallas, TX 150 150 ER

Scott Burford Investigation February 2023-Dallas, TX The FINRA records of Scott Burford ,  a Hilltop Securities Network Securities, Inc., broker disclose a regulatory matter and a termination. Investigations of Hilltop Securities…

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