May 2025 – Atlanta, GA The FINRA records of of David Harrison Miller , formerly a stockbroker with Peachcap Securities is not currently registered with FINRA. He discloses 9 prior…
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 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 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 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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