Glenn E. Brandon Investigation May 2022- Birmingham, AL The FINRA records of Glenn Edward Brandon, a former broker who was last employed by BB&T Securities disclose a final regulatory matter resulting…
read moreApril 2021- New York, NY According to publicly available records David W. Fenning (CRD#1005307), a stockbroker who works for Morgan Stanley Smith Barney discloses 4 settled customer disputes and 1…
read moreJANUARY 2020 UPDATE–Charles Lawrence barred from industry by FINRA for exploitation of elderly customer. See this for more information. September 2016-Palm Harbor, Florida The FINRA records of Charles J. Lawrence, a stockbroker who…
read moreMarch 19, 2015- San Antonio, Texas Joseph DiRago, Jr. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2011…
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