Derick Strickland Investigation September 2022- Houston, TX The FINRA records of Derick Montrele Strickland , a former broker with Allstate Financial Services, disclose a recent bar from the securities industry. The…
read moreMarc Lowell Investigation September 2022- Ft. Lauderdale, FL The FINRA records of Marc Layne Lowell, a stockbroker previously employed by LPL Financial and who is currently employed with Alliance Global Partners…
read moreLosses on GWG L-Bonds Purchased From Intervest International Equities? As we have previously posted, see link ( GWG L-Bonds. We can help ), given the fact that GWG Holdings has…
read moreJon Vinge & GWG L-Bond Investigation August 2022-Colorado Springs, CO The FINRA records of Jonathan C. Vinge, an Intervest International Equities Corp. broker was recently named in a FINRA arbitration by a…
read moreDavid Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz, a former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…
read moreJerry Tuma Investigation August 2022-Dallas, TX According to FINRA records, Jerry Tuma, a broker with Independent Financial Group discloses two finalized customer disputes and a currently pending customer dispute. The…
read moreWilliam L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records, William L. Baumner, IV , a previously registered stockbroker who last worked for Tradespot Markets and Buckman, Buckman & Reid discloses a…
read moreScarlett Ramsey Investigation August 2022-Lubbock, TX According to publicly available records Scarlett Deann Ramsey ,a former broker who last worked for NY Life Securities, discloses a final regulatory matter resulting in…
read moreLynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…
read moreFrank B. Snyder Investigation February 2024- Greenville, IL The FINRA records of Frank B. Snyder , a broker with Cambridge Investment Research Advisors, disclose a pending customer dispute. The Financial Industry…
read more