Marc Lowell Investigation September 2022- Ft. Lauderdale, FL The FINRA records of Marc Layne Lowell, a stockbroker previously employed by LPL Financial and who is currently employed with Alliance Global Partners…
read moreWilliam L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records, William L. Baumner, IV , a previously registered stockbroker who last worked for Tradespot Markets and Buckman, Buckman & Reid discloses a…
read moreJanuary 2019- Ft. Lauderdale, FL According to publicly available records Roger Kroeger, (CRD# 1526864) , a previously registered stockbroker who was last employed by Invest Financial Corporation, disclose a regulatory event,…
read moreAugust 2018-Suwanee, Georgia The FINRA records of Eric Todd Stuckey , a stockbroker who formerly worked for Invest Financial disclose a pending customer suit, 4 prior customer disputes and 2 currently outstanding judgment/liens. The…
read moreMay 2018-Addison, Texas The FINRA records of Clyde D. Jones , a stockbroker who is currently registered with Titan Securities disclose a pending customer dispute, 8 prior final customer disputes and 2…
read moreJune 2017 – New York, City The FINRA records of Christopher C. Jansen , a stockbroker who is currently registered with Newbridge Securities , disclose a pending customer dispute, 3 prior customer disputes and…
read moreMay 2017-Tampa, FL The FINRA records of William D. Byrd , a stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry…
read moreMAY 2018 UPDATE–See this for update. ORIGINAL POST-April 2017-Whitesboro, Texas The FINRA records of Clyde D. Jones , a stockbroker who is currently registered with Titan Securities disclose 2 pending customer disputes, 2…
read moreVienna, VA According to FINRA records, David L. Hannett, Sr. , a stockbroker who works for Invest Financial Corp. discloses a pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read more- 1
- 2