Last Updated: December 2025 — Bristol, Connecticut Here’s what you need to know about former Bristol, CT stockbroker and Connecticut State Representative Chris Ziogas: Name: Mr. Christopher Ziogas Current Employer: Barred from acting…
read moreLast Updated: December 2025 — Fort Wayne, IN Here’s what you need to know about Fort Wayne, IN, stockbroker Josiah David Lederman: Name: Josiah David Lederman Current Employer: Concorde Investment…
read moreLast Updated: December 2025 — Ann Arbor, MI Here’s what you need to know about Ann Arbor, MI stockbroker Amit Jonathan Urban: Name:Amit Jonathan Urban Current Employer:Concorde Investment Services, LLC…
read moreLast Updated: December 2025 (Houston, TX) Eduardo Leon, Jr. Investigation Summary Here’s what you need to know about Houston, Texas, stockbroker Eduardo Leon, Jr.: Name: Mr. Eduardo Leon, Jr. Current…
read moreLast Updated: October 2025 — Newton, MA Here’s what you need to know about Newton, MA stockbroker Ronald David Birnbaum: Name: Ronald David Birnbaum Current Employer: Not currently registered with a FINRA-member…
read moreLast Updated: October 2025 — West Point, GA Here’s what you need to know about West Point, GA stockbroker Larry B. Duncan: Name: Larry Bernard Duncan (also appears as Larry B. Duncan). Current Employer: Raymond…
read moreLast Updated: December 2025 — Wilmington, DE Here’s what you need to know about Wilmington, DE stockbroker Thomas John Shopa Jr.: Name: Thomas John Shopa Jr. Alias: TJ Shopa Current Employer: Equitable Advisors, LLC —…
read moreLast Updated: December 2025 — Honolulu, HI Here’s what you need to know about Honolulu, HI stockbroker Marshall B. L. Lum: Name: Marshall B. L. Lum Alias: Marshal BL Lum Current Employer: Not currently registered…
read moreLast Updated: December 2025 — Irvine, California Here’s what you need to know about Irvine, CA stockbroker Nick Olivas: Name: Nicholas David Olivas Current Employer: Prospera Financial Services, Inc. (CRD #10740), Dallas, TX…
read moreLast Updated: December 2025 — Vancouver, Washington Here’s what you need to know about Vancouver, WA financial advisor Todd Juenger: Name: Todd Alan Juenger Current Employer: None – Not currently registered with FINRA. Prior…
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