James 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 – 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 (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 moreMay 2026- Hauppauge , New York The Financial Industry Regulatory Authority (FINRA)Â is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report…
read moreMay 2026- Ft. Lauderdale, FL The Financial Industry Regulatory Authority (FINRA)Â is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer…
read moreMay 2026 The FINRA records of  Gil Sharon ,  a stock broker who is employed by A.G.P. – Alliance Global Partners disclose several prior customer dispute . The Financial Industry Regulatory Authority (FINRA) is…
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…
read moreBrett Scott Ellen Investigation Updated May 2026 – Las Vegas, NV According to publicly available records Brett S. Ellen, an unregistered broker who was most recently employed by  Metric Financial …
read moreDenny Haywood Investigation May 2026- Land O’ Lakes, FL The FINRA records of Dennis “Denny” Haywood , a stockbroker previously with Crown Capital Securities, Inc. broker discloses a 19 prior customer…
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