David Lee Todd Investigation June 2023-Peoria, AZ According to publicly available records David Lee Todd a Wells Fargo Clearing Services broker, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreJustin Singletary Investigation June 2023 – San Clemente, CA According to publicly available records Justin Singletary , a stockbroker previously employed by Westpark Capital, discloses a pending customer dispute involving GWG L-Bonds.…
read moreMark Stewart Investigation June 2023 – Irvine, CA According to publicly available records Mark Stewart , a broker with M Stevens Securities, discloses a pending customer dispute involving GWG L-Bonds. The…
read moreJohn A. Orlando Investigation June 2023 – Ft. Lauderdale, FL According to publicly available records John Anthony Orlando , a stockbroker previously employed by SW Financial, discloses 2 regulatory events, 5 prior…
read moreStephen Marek Investigation June 2023-Uniondale , NY According to publicly available records Stephen Marek a Joseph Gunnar & Co. broker, discloses 2 prior customer disputes and a pending customer dispute. …
read moreGary Benson Investigation June 2023-Encino, CA According to publicly available record Gary Benson, an Independent Financial Group broker discloses eight prior customer disputes and one pending customer dispute. The Financial Industry Regulatory…
read moreBrian Wurdermann Investigation June 2023-New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets, discloses a regulatory matter resulting in a…
read moreRonald Diaz Investigation June 2023-Tuscon, AZ The FINRA records of Ronald Diaz , a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in…
read moreRoman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans, a broker employed by Raymond James & Associates, Inc. disclose a regulatory matter and a customer dispute. The…
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