Jim Driggers Investigation Last Updated: March 2026 — Sarasota, FL Here’s what you need to know about Sarasota, FL stockbroker Jimmy Yang Driggers: Name: Jimmy “Jim” Yang Driggers CRD Number:…
read moreLast Updated: February 2026 — Pasadena, CA Here’s what you need to know about Pasadena, CA stockbroker Katy Y. Zhao: Name: Katy Yun Zhao Current Employer: Morgan Stanley (CRD #149777); branch listed…
read moreLast Updated: February 2026, Hendersonville, NC/ Palm Coast, FL Anthony Gallea Investigation Summary Here’s what you need to know about Hendersonville, NC/ Palm Coast, FL, stockbroker Anthony Gallea: Name: Anthony…
read moreLast Updated: January 2026 (Miami, FL) Veronica Lopez-Lopez Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Veronica Lopez-Lopez: Name: Veronica Lopez-Lopez Current Employer: Insigneo Securities, Insigneo…
read moreLast Updated: November 2025, Boca Raton, FL/ New York. NY Helen Rothlein Investigation Summary Here’s what you need to know about Boca Raton, FL / New York, NY, , stockbroker…
read moreLast updated: September 2025 — The Woodlands, Texas Here’s what you need to know about this broker (The Woodlands, Texas) Name: John Ross Gascoyne Current Employer: Not currently registered with FINRA as…
read moreLast Updated: September 2025 — New York, NY Here’s what you need to know about New York, NY, stockbroker Joseph Genzardi: Name: Joseph Alfred Genzardi Current Employer: Morgan Stanley (CRD #149777) —…
read moreLast Updated: September 2025 — Miami, FL Here’s what you need to know about Miami, FL stockbroker Leon Ciobataru: Name:Leon Ciobataru. Alias: Leo Ciobatarn, Leon Ciobatarn Current Employer: Not currently…
read moreLast Updated: September 2025 — Salt Lake City, UT Here’s what you need to know about Salt Lake City, UT stockbroker James David Garrity: Name: Mr. James David Garrity CRD –…
read moreLast Updated: August 2025 — New York, NY Here’s what you need to know about New York, NY stockbroker Eric Brian Kleiner: Name: Mr. Eric Brian Kleiner CRD Number: 4135180 Current Status: Not…
read more