Jon Vinge & GWG L-Bond Investigation August 2022-Colorado Springs, CO The FINRA records of Jonathan C. Vinge, an Intervest International Equities Corp. broker was recently named in a FINRA arbitration by a…
read moreDavid Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz, a former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…
read moreRobert C. Bragg Investigation Monument, Colorado According to publicly available records Robert Charles Bragg, a broker who works for Newbridge Securities, discloses a pending customer dispute and a prior regulatory matter.…
read moreLast Updated: December 2023 (San Antonio, Texas) Lance Walston Investigation Summary Here’s what you need to know about San Antonio, Texas, stockbroker Lance Walston: Name: Mr. Lance Colby Walston Current…
read moreJerry Tuma Investigation August 2022-Dallas, TX According to FINRA records, Jerry Tuma, a broker with Independent Financial Group discloses two finalized customer disputes and a currently pending customer dispute. The…
read moreWilliam L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records, William L. Baumner, IV , a previously registered stockbroker who last worked for Tradespot Markets and Buckman, Buckman & Reid discloses a…
read moreLynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…
read moreScott Spruth Investigation August 2022- Newport Beach, CA According to FINRA records, Scott K. Spruth, a broker who previously worked for Wells Fargo, discloses 2 pending customer disputes. The Financial…
read moreBrian Turner Investigation August 2022-Ellicott City, MD The FINRA records of Brian C. Turner, a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA)…
read moreMicheal Sloan Investigation May 2022- St. Charles, IL According to FINRA records, Michael Peter Sloan, a Wintrust Investments broker disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
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