Robert 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 moreJanuary 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 moreJanuary 2025-Seattle, WA The FINRA records of Donald L. Wells , a stockbroker who is currently registered with Realta Equities. He was formerly with Titan Securities from 12/2017-6/2023. His FINRA records disclose a…
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 moreUPDATED January 2025 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…
read moreLast Updated: December 2024 (Winter Park, FL) Dean Nowak Investigation Summary Here’s what you need to know about Winter Park, FL, stockbroker Dean Nowak: Name: Mr. Dean Robert Nowak Current…
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…
read moreWoodbury Financial Services Investigation WOODBURY FINANCIAL ACQUIRED BY OSAIC FINANCIAL – SEE LINK August 2024 The FINRA records of Woodbury Financial Services, disclose 22 final regulatory events, 8 prior customer disputes,…
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