Alex Shtaynberger (CRD #: 2077298), a broker registered with Laidlaw & Company (UK), has been investigated by the SEC, according to his BrokerCheck record, accessed […]
Benjamin Quilty (CRD #: 5391743), a broker registered with Pinnacle Investments, was involved in a recent SEC investigation, according to his BrokerCheck record, accessed on […]
Robert Cuculich (CRD #: 706353), a broker registered with Pinnacle Investments, was recently involved in an SEC investigation, according to his BrokerCheck record, accessed on […]
Ricky Mantei Investigated by SEC
Oct 12, 2022
SEC Investigation
Ricky Mantei (CRD #: 1098981), a broker registered with Centaurus Financial, was recently investigated by the SEC, according to his BrokerCheck record, accessed on August […]
SEC Investigates Atul Makharia
Oct 10, 2022
SEC Investigation
Atul Makharia (CRD #: 5070762), a broker registered with Centaurus Financial, was the subject of an SEC investigation, according to his BrokerCheck record, accessed on […]
Robert High (CRD #: 4568165) has been barred from FINRA, according to his BrokerCheck record, accessed on June 3, 2022. If you have questions about […]
Nancy Cole (CRD #:2900724), a broker and investment advisor registered with Western International Securities, is the subject of an SEC investigation, according to her BrokerCheck […]
Thomas Swan (CRD #:1698430), a broker and investment advisor registered with Western International Securities, is the subject of an SEC investigation, according to his BrokerCheck […]
Steven Graham (CRD #:1977736), a broker and investment advisor registered with Western International Securities, is the subject of an SEC investigation, according to his BrokerCheck […]
Andy Gitipityapon (CRD #: 4092978), a broker and investment advisor registered with Western International Securities, is the subject of an SEC investigation, according to his […]