Jason R. Jaynes Investigation January 2024-Plano, TX According to publicly available records Jason R. Jaynes , a stockbroker who was previously registered with Merrill Lynch, discloses settlement of a customer dispute which…
read moreDavid Lee Todd Investigation June 2023-Peoria, AZ According to publicly available records David Lee Todd a Wells Fargo Clearing Services broker, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreLast Updated: December 2023 (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: Wells…
read moreScott Spruth Investigation August 2022- Newport Beach, CA According to FINRA records, Scott K. Spruth, a broker who previously worked for Wells Fargo, discloses 2 pending customer disputes. The Financial…
read moreBrian Turner Investigation August 2022-Ellicott City, MD The FINRA records of Brian C. Turner, a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA)…
read moreJames William Dunn, Jr. Investigation March 2022- Vienna, VA The FINRA records of James William Dunn, Jr, a currently unregistered broker who was last employed by Ameriprise Financial Services, disclose 19 prior…
read moreMarcus Parker Investigation October 2021-Santa Fe, New Mexico According to publicly available records Marcus Duane Parker , a former stockbroker who last worked for Wells Fargo Clearing Services discloses that he has been sued…
read moreAugust 2021- Tacoma, WA According to publicly available records, Gary L. Wells, a currently suspended financial advisor who previously was employed by American Wealth Management, Inc. and Wells Fargo, discloses a…
read moreNovember 2020- Clearwater, FL According to publicly available records Jason Dukas (CRD#4188239), a stockbroker with Stifel, Nicolaus & Company, discloses a regulatory event and a termination from employment. The Financial…
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