Last Updated: June 2025 (Austin, Texas) William Moening Investigation Summary Here’s what you need to know about Austin, TX, stockbroker William Moening: Name: Mr. William Randall Moening Current Employer: Not…
read moreMay 2025- Dallas, TX The FINRA records of Daniel W. Staudacher, a broker currently registered with Worth Financial Group, disclose 2 regulatory events, a customer dispute and a pending IRS lien.…
read moreJohn 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 moreTravis Eiland/ Avantax Wealth Management Investigation April 2025-Baytown, TX According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest,…
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 moreApril 2025- Garden City, NY / Melbourne, FL According to publicly available records Richard Foerster Reynolds (CRD#2162706), a currently unregistered stockbroker who last worked for SW Financial and Worden Capital…
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 moreHorter Investment Management Investigation March 2025 -Cincinnati, Ohio We are investigating Cincinnati-based registered investment adviser Horter Investment Management, LLC. (“Horter Investment“). Horter Investment Management is an SEC registered investment adviser…
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 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…
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