Last Updated: January 2026 — Scottsdale, AZ Here’s what you need to know about Scottsdale, AZ stockbroker Adam Ross Lunceford: Name: Adam Ross Lunceford Current Employer: Not currently registered with FINRA. Prior…
read moreLast Updated: January 2026 — Buford, GA Here’s what you need to know about Buford, GA stockbroker Robert Thatcher Tudor: Name: Robert Thatcher Tudor III Current Employer: Voya Financial Advisors, Inc. Prior Firms:…
read moreBruce Amman Investigation January 2026-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked as a stock broker for LPL Financial,  discloses a final regulatory matter…
read moreLast Updated: January 2026 (Cincinnati, Ohio) Jason Nelson Investigation Summary Here’s what you need to know about Cincinnati, Ohio, stockbroker Jason Nelson: Name: Mr. Jason Matthew Nelson Current Employer: LPL…
read moreLast 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, Cornelius, NC- Sheridan, WY Here’s what you need to know about Sheridan, WY & Cornelius, NC, former stockbroker Bryce A. Hamilton: Name: Mr. Bryce Austin Hamilton…
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 — 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: 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…
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