Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures involving securities broker Brent Christopher Fuchs [CRD: 4269916, Preston, Maryland]. Fuchs has worked for Lincoln Financial Advisors Corporation (now Osaic FA Inc.) as a securities broker since November 14, 2000, and as a financial advisor since January 22, 2001. His employment history includes client disputes, with one or more clients alleging unsuitable investment advice. Keep reading to learn more about the disputes and regulatory actions involving Fuchs.
On April 17, 2024, a client of Lincoln Financial Advisors Corporation filed FINRA Arbitration No. 24-00348, accusing Brent Fuchs of providing unsuitable advice regarding oil and gas investments. The client asked for $325,000 in damages.
In another instance, on February 16, 2024, a client requested $40,000 in damages through FINRA Arbitration No. 24-00348, citing unsuitable advice about energy securities during Fuchs’ employment with Lincoln Financial. Also, a different client filed a claim requesting $295,000 in damages for alleged unsuitable recommendations in energy investments.
Additionally, a client filed FINRA Arbitration No. 24-00348 requesting $110,000 in damages for alleged unsuitable advice in oil and gas investments by Fuchs during his time at Lincoln Financial Advisors Corporation.
Evidently, on February 4, 2020, another client made a complaint requesting damages based on allegations that Fuchs misled them regarding oil and gas investments. However, the complaint was denied.
For more information, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. Fuchs and the brokerage firms he worked for deny any allegations of misconduct. Soreide Law Group has experience representing investors throughout the country and handles cases on a contingency basis.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
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