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Unsuitable Investments

James Warring- Former DAI Securities Advisor/ Eaglestone Wealth Advisor- Has a $4.5M Pending Customer Dispute-Rockville, Maryland

James Warring- Former DAI Securities Advisor/ Eaglestone Wealth Advisor- Has a $4.5M Pending Customer Dispute-Rockville, Maryland 150 150 ER

James Warring Investigation June 2023 – Rockville, Maryland According to publicly available records  James Dale Warring,  a broker currently registered with Emerson Equity,  discloses $4.5M pending customer dispute. The Financial Industry…

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Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA

Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA 150 150 ER

Mark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with  LPL Financial discloses four prior customer disputes and one pending customer dispute. …

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Jonathon Ebel – Network 1 Financial Securities Broker-Discloses Multiple Customer Disputes – Hauppauge, NY

Jonathon Ebel – Network 1 Financial Securities Broker-Discloses Multiple Customer Disputes – Hauppauge, NY 150 150 ER

Jonathon Ebel  Investigation June 2023-Hauppauge, NY According to publicly available record Jonathon Ebel, a Network 1 Financial Securities broker discloses three prior customer disputes and two pending customer disputes.  The Financial Industry…

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David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ

David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ 150 150 ER

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…

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Justin Singletary-Former Westpark Capital Broker- Discloses Customer Dispute Involving GWWG L-Bonds – San Clemente, CA

Justin Singletary-Former Westpark Capital Broker- Discloses Customer Dispute Involving GWWG L-Bonds – San Clemente, CA 150 150 ER

Justin 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.…

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Barbara Borowsky-Dempsey Lord Smith Broker- Discloses Customer Dispute-Rome, GA

Barbara Borowsky-Dempsey Lord Smith Broker- Discloses Customer Dispute-Rome, GA 150 150 ER

Barbara Borowsky Investigation June 2023 – Rome, GA According to publicly available records  Barbara Borowsky ,  a broker with Dempsey, Lord, Smith discloses a pending customer dispute  The Financial Industry Regulatory…

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Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA

Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA 150 150 ER

Howard Woo Investigation June 2023 – Irvine, CA According to publicly available records  Howard Woo ,  a broker with UBS Financial Services, Inc.  discloses a pending customer dispute  The Financial Industry…

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