January 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 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 moreJune 2024 – Del Mar, CA According to publicly available records Mark Fred Augusta (CRD#1333913) , a stockbroker who is currently registered with Hilltop Securities, Inc., disclose 21 prior customer disputes, 2 pending customer…
read moreMark Williams Investigation April 2024-Carmel by the Sea, CA According to publicly available records Mark John Williams , a former Centaurus Financial Inc., broker who now works for Kingswood Capital…
read moreBob Boschke Investigation April 2024- St. Germain, WI The FINRA records of Robert “Bob” Boschke, a stockbroker previously employed by CFD Investments, Inc. and LPL Financial disclose two regulatory actions and 3…
read moreScott Bremus Investigation April 2024- Dacula, GA According to publicly available records Scott Bremus, a broker previously registered with LPL Financial discloses 2 regulatory events, 2 final customer disputes and…
read moreRobert Alvarez Investigaton April 2024- Metairie, LA According to publicly available records, Robert Alvarez, a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute,…
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