David 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 moreFrank B. Snyder Investigation February 2024- Greenville, IL The FINRA records of Frank B. Snyder , a broker with Cambridge Investment Research Advisors, disclose a pending customer dispute. The Financial Industry…
read moreSteve Baaden Investigation August, 2022 – Dallas, TX The FINRA records of Steven R. Baaden, an Oppenheimer & Co. broker, disclose settlement of a recent customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
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 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…
read moreNeal Nakagiri Investigation August 2022-Burbank, CA The FINRA records of Neal Nakagiri, a broker formerly with NPB Financial Group where he was also President/ CEO, discloses a 5 prior customer disputes…
read moreEdward Turley Investigation March 2023– San Francisco, CA According to publicly available records, Edward L. Turley, a broker previously with JP Morgan in San Francisco, CA, discloses 8 prior customer complaints, 2 pending…
read moreLeFranc J. Joseph Energy 11, Energy Resources 12 Investigation August 2022-Lawrenceville, NJ The FINRA records of LeFranc Junior Joseph, a broker with David Lerner Associates , discloses a pending customer dispute.…
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