Shaun Hayes (CRD #: 4963876), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, has been suspended in the State of Texas, according […]
Roger Duval (CRD #: 2503718), a broker formerly registered with Pruco Securities, is involved in three pending state regulatory actions, according to his BrokerCheck record, […]
David Kreiter (CRD #: 2552964), a broker registered with Northwestern Mutual Investment, has been the subject of two state regulatory actions, according to his BrokerCheck […]
SEC Files Regulatory Action Against Matthias O’Meary Following Civil Suit
Nov 22, 2024
Regulatory Action
Matthias O’Meary (CRD #: 5055402), a broker formerly registered with BB&T Securities, has been the subject of an SEC lawsuit and regulatory action, according to […]
Kabir Gangahar (CRD #: 4280828), a broker formerly registered with KMS Financial Services, has been suspended by the SEC, according to his BrokerCheck record, accessed […]
Kevin Toohey (CRD #: 6182533), a broker formerly registered with Fidelity Brokerage Services, has been the subject of a state regulatory action, according to his […]
James Colleary (CRD #: 5844640), a broker registered with Nationwide Planning Associates, is the subject of a regulatory action. This disclosure appears on his BrokerCheck […]
Baris Cabalar (CRD #: 474932), a broker also known as Barry Cabalar, is the subject of an SEC civil complaint. This disclosure appears on his […]
Christopher Arnella (CRD #: 4886531), a broker registered with Morgan Stanley, has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed on […]
Bob Thompson (CRD #: 1975407), a previously registered broker with Concourse Financial Group Securities, has been suspended by FINRA. This disclosure appears on his BrokerCheck […]