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Unsuitable Investments

NatAlliance Securities Censured and Fined by Securities Regulator-FINRA
NatAlliance Securities Censured and Fined by Securities Regulator-FINRA 150 150 Rex Securities Law

NatAlliance Securities  March 2023- Austin, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based NatAlliance Securities (CRD 39455) was censured and fined $40,000 for mismarking bonds and…

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Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY
Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY 150 150 ER

Christopher Blumer Investigation March 2023- New York, NY The FINRA records of Michael Christopher Blumer, a former SW Financial broker who currently works for Spartan Capital Securities,  disclose two pending and two prior…

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Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN
Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN 150 150 ER

Shad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of  Shad Ketcher,  a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA
Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA 150 150 ER

Robert D’Agosta Investigation March 2023- Bethlehem, PA The FINRA records of   Robert D’Agosta, an IBN Financial Services, Inc. broker,  disclose a a regulatory event, an arbitration award and 3 prior customer disputes.…

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Mark Williams-Former Centaurus Financial Broker- Discloses 2 Pending Customer Disputes- Carmel, CA
Mark Williams-Former Centaurus Financial Broker- Discloses 2 Pending Customer Disputes- Carmel, CA 150 150 ER

Mark Williams Investigation March 2023-Carmel by the Sea, CA According to publicly available records Mark John Williams ,  a former Centaurus Financial Inc., broker who now works for Kingswood Capital…

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John Orlando- Former SW Financial Broker-Discloses Regulatory Events And $1.17M + in Customer Disputes- Ft. Lauderdale, FL
John Orlando- Former SW Financial Broker-Discloses Regulatory Events And $1.17M + in Customer Disputes- Ft. Lauderdale, FL 150 150 ER

John Orlando Investigation March 2023- Ft. Lauderdale, FL The FINRA records of  John Anthony Orlando , a currently unregistered broker who was last employed by SW Financial,  disclose 2  regulatory events,…

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Dean Nowak- Former Newbridge Securities Broker -Has Multiple Pending Customer Disputes- Winter Park, FL
Dean Nowak- Former Newbridge Securities Broker -Has Multiple Pending Customer Disputes- Winter Park, FL 150 150 ER

Dean Nowak Investigation March 2023- Winter Park, FL According to publicly available records Dean Nowak, a broker previously employed by  Newbridge Securities Corporation,  discloses 5 pending customer disputes. The Financial Industry…

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Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders
Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders 150 150 Rex Securities Law

Webull Financial LLC Investigation March  2023 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…

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