William 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 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 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 moreFebruary 2019- West Point, Georgia We are investigating Leavitt F. Sanders, of Leavitt Financial Group, who was a registered stockbroker with the following broker dealers. He is not currently registered…
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