March 25, 2020
Financial Advisor Dana B. Vietor, CFD Investments, Dallas, TX FINRA Reportedly Bars
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March 20, 2020
Financial Advisor Scott P. Kozak, Cetera Advisors, Highlands Ranch, CO FINRA
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March 20, 2020
Financial Advisor James B. Daughtry, Kestra Investment Services, Dothan, AL FINRA
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March 18, 2020
Financial Advisor Charles L. Bender III, Suntrust Investment Services, Coral Gables,
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March 6, 2020
Recovery of Investment Losses – UBS YES Strategy Have you suffered losses
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March 6, 2020
FINRA Sanctions Cambridge Investment Research for Alleged Supervisory Issues
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March 5, 2020
Elder Fraud Sweep – National Elder Hotline According to a news release on
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February 26, 2020
Financial Advisor Joseph M. Thurnherr, Wynston Hill Capital, New York, NY Former
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February 20, 2020
Phillip Schreiner, Morgan Stanley, San Antonio, TX FINRA Reportedly Bars Phillip
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February 19, 2020
Financial Advisor Masood Azad (Mike Azad), First Allied Securities, League City, TX
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