October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker, disclose a pending customer dispute, 2 prior…
read moreJanuary 2020 -Palm Harbor, Florida The FINRA records of Charles Joseph Lawrence, a former stockbroker who was last employed by R. F. Lafferty & Co. disclose a final regulatory matter resulting…
read moreMay 2017-Norman, OK The FINRA records of Billy Jack Cowan , a former stockbroker who is not currently registered disclose a regulatory event, 2 prior customer disputes, 2 terminations from employment and 8…
read moreJuly 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) , a stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…
read moreJuly 2016- Troy, Michigan The FINRA records of David K. Rubenstein , a stock broker currently employed by L.M. Kohn & Company, disclose a prior final customer dispute, a prior final financial disclosure and 2 prior…
read moreJanuary 4, 2016 Carlos Benavidez, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Waddell &…
read moreJuly 13, 2015 Ingrid Bachelor entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…
read moreJune 22, 2015 Tyler Powell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he exercised discretion in a…
read moreUPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer. Our Original Post–March 6, 2015, Fair Oaks Ranch, Texas Barry S. Brower, entered into a Letter of…
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