September 2026 -Ft. Worth, Texas The FINRA records of  Timothy D. Walsh ,  a registered investment advisor with Xenith Financial Advisory Services disclose a recent sanction by the Texas State Securities Board (TSSB),…
read moreJames Bernthal Investigation July 2026-New York, NY According to publicly available records James R. Bernthal a broker formerly with Aegis Capital Corp.,  discloses 7 prior customer disputes. The Financial Industry…
read moreJune 2026-Hendersonville, TN According to publicly available records Michael A. Jump  (CRD#1146669) ,  a  stockbroker currently registered with Chelsea Financial Services  discloses 2 regulatory events, four customer disputes and a termination. The Financial Industry Regulatory…
read moreJune 2026 – Clear Lake, Iowa The FINRA records of  Thomas W. Bodensteiner ,  a  stockbroker who was last employed by Purshe Kaplan Sterling discloses a customer dispute . The Financial Industry…
read moreLast Updated: June 2026 (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 moreLast Updated: May 2026 (Lake Worth, FLA) Kevin Hobbs Investigation Summary Here’s what you need to know about Lake Worth, Florida ,  stockbroker Kevin Hobbs: Name: Mr. Kevin A. Hobbs…
read moreLast Updated: May 2026 (Corpus Christi, Texas) Mark Kemp Investigation Summary Here’s what you need to know about Corpus Christi, Texas, stockbroker Mark Kemp: Name: Mark Alan Kemp Current Employer:…
read moreShawn  Parker Investigation May 2026-Schaumburg, IL According to publicly available records Shawn Elizabeth Parker,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting in a…
read moreLast Updated: May 2026 (Sarasota, FL) Marc Korsch Investigation Summary Here’s what you need to know about Sarasota, Florida, stockbroker Marc Korsch: Name: Mr. Marc Frederick Korsch Current Employer: Barred…
read moreEdmund P. Murphy Investigation May 2026- Naples, FL According to publicly available records Edmund “Eddie” P. Murphy,  a broker previously registered with Robert W. Baird & Co., and Cardinal Sign…
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