Robert Li Investigation February 2025-Naperville, IL According to publicly available records Robert Li an LPL Financial broker, disclose pending customer disputes alleging unsuitable use of margin borrowing as a trading…
read moreJanuary 2025-Seattle, WA The FINRA records of Donald L. Wells , a stockbroker who is currently registered with Realta Equities. He was formerly with Titan Securities from 12/2017-6/2023. His FINRA records disclose a…
read moreWebull Financial LLC Investigation January 2025 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…
read moreUPDATED January 2025 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…
read moreDenny Haywood Investigation September 2024- Land O’ Lakes, FL The FINRA records of Dennis “Denny” Haywood , a stockbroker previously with Crown Capital Securities, Inc. broker discloses a 10 prior customer…
read moreWoodbury Financial Services Investigation WOODBURY FINANCIAL ACQUIRED BY OSAIC FINANCIAL – SEE LINK August 2024 The FINRA records of Woodbury Financial Services, disclose 22 final regulatory events, 8 prior customer disputes,…
read moreAngelo Anello Investigation June 2024 – Needham, MA According to publicly available records Angelo Anello , a broker with LPL Financial discloses 3 prior customer disputes and one pending customer dispute.…
read moreJune 2024 – Del Mar, CA According to publicly available records Mark Fred Augusta (CRD#1333913) , a stockbroker who is currently registered with Hilltop Securities, Inc., disclose 21 prior customer disputes, 2 pending customer…
read moreDavid Shane Simmons Investigation April 2024-Jefferson, NC UPDATE: On April 25, 2024 the U.S. Department of Justice convicted two tax attorneys and former broker David Shane Simmons of conspiring to…
read moreApril 2024- St. Louis, MO The FINRA records of Sean Aaron Brady , a former stock broker who is not currently registered and who was last employed by First Allied Securities , disclose that he was…
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