April 2026- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett discloses settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreRobin Platt Investigation March 2026-New Orleans, LA According to FINRA records Robin V. Platt, a financial advisor employed as a registered broker by Cetera Investment Services discloses settlement multi-million dollar suit…
read moreMarch 2026 – Brentwood, TN According to publicly available records Thomas Jenkins Parker (CRD#356789) ,  a stockbroker who is currently registered with Thoroughbred Financial Services,  disclose 2 prior regulatory events, 9…
read moreMarch 2026- St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 3 settled customer disputes and multiple…
read moreMarch 2026, New York, NY According to publicly available records Nicholas James Schiano  (CRD#4429212) ,  a stockbroker currently registered with Spartan Capital Securities,  disclose 5 prior customer disputes and 1 pending…
read moreFebruary 2026-Waco, Texas The FINRA records of  Steven P. Sappington ,  a  stockbroker who is currently registered with G.A. Repple disclose a prior customer disputes and 6 prior financial events. The Financial Industry…
read moreLast Updated: February 2026 (Vero Beach, FL) Glenn Romer Investigation Summary Here’s what you need to know about Vero Beach, FL, stockbroker Glenn Romer: Name: Mr. Glenn J. Romer Current…
read moreBrett Rutherford Investigation February, 2026 – Raleigh, NC The FINRA records of Brett Rutherford, formerly a Capital Investment Group, Inc. broker, discloses a pending customer dispute and numerous settled customer disputes …
read moreFebruary 2026- Garden City, NY / Melbourne, FL According to publicly available records Richard Foerster Reynolds (CRD#2162706), a currently unregistered stockbroker who last worked for SW Financial and Worden Capital…
read moreBrian Prasifka Investigation January 2026- Crowley, TX The FINRA records of J. Paul Brian Prasifka, a stockbroker currently  employed by Gradient Securities disclose a recent sanction by Texas securities Regulators. The…
read more