Laurie Kampman (CRD #: 2698601), a broker registered with Raymond James & Associates, is the subject of a regulatory action. This disclosure appears on her […]
Daniel Schmidt (CRD #: 5771519), a broker registered with State Farm VP Management Corp, is the subject of an investor dispute alleging he failed to […]
Devin Born (CRD #: 2275635), a broker registered with Lifemark Securities Corp., is facing a regulatory action in Massachusetts. This is according to his BrokerCheck […]
Nick Giordano (CRD #: 7192191), a broker previously registered with Northwestern Mutual Investment Services, is the subject of a regulatory action in New Hampshire. This […]
John Marmion Subject of a Final Order from the Ohio Division of Securities
Sep 2, 2023
Regulatory Action
John Marmion (CRD #: 1139175), a broker registered with UBS Financial Services, is the subject of a Cease and Desist Order issued by the Ohio […]
Gary Roth (CRD #: 4635762), a broker registered with Packerland Brokerage Services, is the subject of a regulatory action in the state of Wisconsin, according […]
Samantha Lompado (CRD #: 5893501), a broker formerly registered with Royal Alliance Associates, is the subject of a regulatory action. This is according to her […]
Ted Oakley (CRD #: 813008), a broker registered with Herndon Plant Oakley, is the subject of an SEC investigation. This is according to his BrokerCheck […]
Donald Hancock Facing SEC Allegations Related to Potential Rule Violations
Aug 1, 2023
Regulatory Action
Donald Hancock (CRD #: 828811), a broker registered with Moloney Securities, is the subject of an SEC investigation. This is according to his BrokerCheck record, […]
Laura Barnes Subject of SEC Investigation into Potential Rule Violations
Jul 31, 2023
Regulatory Action
Laura Barnes (CRD #: 4482198), a broker registered with Moloney Securities, is facing an SEC investigation, according to her BrokerCheck record, accessed on July 28, […]