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 — 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…
read moreLast Updated: December 2025 — Brentwood, TN Here’s what you need to know about Brentwood, TN stockbroker Roger Barnett: Name: Roger Allen Barnett II Current Employer: LPL Financial LLC (CRD #6413) —…
read moreLast Updated: December 2025 (Maple Grove, MN) Nouachi Vang Investigation Summary Here’s what you need to know about Maple Grove, MN stockbroker Nouachi Vang: Name: Mr. Nouachi Vang Current Employer: LPL Financial…
read moreLast Updated: November 2025 — Wauwatosa, WI Here’s what you need to know about Wauwatosa, WI stockbroker and investment adviser Nicholas Lloyd Langer: Name: Nicholas L. Langer Alias: Nick Langer Current Employer: LPL Enterprise, LLC…
read moreLast Updated: October 2025, Birmingham, AL Here’s what you need to know about Birmingham, AL, former stockbroker Kevin McCallum: Name: Mr. Kevin Marshall McCallum Current Employer: Not currently registered Prior…
read moreLast Updated: October 2025 — Spring, TX Here’s what you need to know about Spring, TX stockbroker Earl Eugene Newsome: Name: Earl Eugene Newsome. Current Employer: LPL Financial LLC — registered 07/10/2025; primary branch listed…
read moreLast Updated: October 2025 — Fate, TX Here’s what you need to know about Fate, TX stockbroker Frank Gomez: Name: Francisco Manuel Gomez Alias: Frank Gomez Current Employer: LPL Financial LLC (CRD…
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