John Zaffarano Investigation Updated April 2025 Boca Raton, FL According to publicly available records, John Zaffarano a Newbridge Securities Corporation broker recently settled a customer dispute. The Financial Industry Regulatory…
read moreApril 2025 – St. Louis, MO According to publicly available records Alvery Anthony Bartlett, Jr. (CRD#13975), a previously registered stockbroker who was last employed by Aegis Capital and who previously…
read moreMark J. Williams Investigation March 2025-Carmel by the Sea, CA/ Lakeway, TX/ Stockbridge, GA According to publicly available records Mark John Williams , a former broker who last was registered…
read moreMario E. Rivero Investigation February 2025-Red Bank, New Jersey We are investigating former Wells Fargo & LPL Financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent…
read moreLast Updated: February 2025 (Albuquerque, New Mexico) Pamela Espinosa Investigation Summary Here’s what you need to know about Albuquerque, NM, stockbroker Pamela Espinosa: Name: Ms. Pamela S. Espinosa Current Employer:…
read moreRobert 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 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 Rex Securities Law is investigating Dempsey Lord Smith broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including…
read moreLast Updated: November 2024 (Lantana, Texas) Shaun Hayes Investigation Summary Here’s what you need to know about Lantana, Texas, stockbroker Shaun Hayes: Name: Mr. Shaun Eugene Hayes Current Employer: Not…
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…
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