Antonio Suarez-Borelli (CRD #: 5291042), a broker registered with Nationwide Planning Associates, is the subject of a Puerto Rico regulatory action. This disclosure appears on […]
Richard Sica (CRD #: 1756940), a broker registered with Charles Schwab & Co., is the subject of an investor dispute. This is according to his […]
Timothy Evans (CRD #: 6259284), a broker registered with IBN Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck […]
Christopher Avery (CRD #: 4706653), a broker registered with IBN Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck […]
Jeffrey Tabak (CRD #: 856416), a broker registered with TJM Investments, is the subject of a FINRA investigation. This is according to his BrokerCheck record, […]
Michelle Stebbins (CRD #: 4156378), a broker registered with Stifel, Nicolaus & Company, is the subject of an investor dispute. This is according to her […]
Perry Bacon (CRD #: 4952750), a broker registered with LPL Financial, was recently terminated by Wells Fargo Advisors Financial Network. This disclosure appears on his […]
Brian Cote (CRD #: 4218494), a broker registered with GPWA, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed […]
David Wilke (CRD #: 2258159), a broker registered with Capital Investment Group, is the subject of an investor dispute. This is according to his BrokerCheck […]
Kevin Roberson Facing State Securities Investigation and Civil Suit
Nov 10, 2023
Failure to Supervise
Kevin Roberson (CRD #: 2298900), a broker registered with Merrill Lynch in Hilton Head Island, is the subject of an investigation by a state securities […]