When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CHARGED WITH FELONY (CONSPIRACY, TRANSPORT OF
STOLEN SECURITIES, FRAUD BY WIRE), WENT TO COURT IN THE WESTERN
DISTRICT FEDERAL COURT ST LOUIS MO AND WAS FOUND NOT GUILTY.
CHARGES WERE FOUND TO BE FALSE AND THE PERSON WHO BROUGHT
CHARGES LIED ON THE WITNESS STAND.
Broker Comment
MOTHER OF A CLIENT CALLED ME AND ASKED ME TO HELP
HER FIND HER SON WHO WAS FLYING IN AND OUT OF MEXICO ILLEGALLY.
SHE PAID MY EXPENSES AND LATER WHEN I COULDN'T FIND HIM (HE
CRASHED HIS PLANE AND WAS KILLED; DIED DURING THE TIME I WAS
LOOKING FOR HIM), SHE ACCUSED ME OF KNOWING HE WAS DEAD. SHE
TOLD LOCAL SHERIFF (ALSO A MISCOMMUNICATOR OF TRUTH & IMPEACHED
FROM OFFICE) & HE CALLED FBI. I HAD PRESIDENT OF BANK AS MY
WITNESS AND CASE WAS SEALED W/NOT GUILTY VERDICT. IN MAY 1976
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.