FINRA fined and suspended securities broker Thomas Gregory Scheiman [CRD: 1508288, Parma, Ohio], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scheiman worked for Independence Capital Co. Inc. beginning March 8, 1990, and later served as an investment adviser with the same firm starting April 1, 2003. Investors can see below to […]

FINRA fined securities broker Glenn Edwin Bridwell Jr. (also known as Ed Bridwell) [CRD: 1783191, Wichita, Kansas], and an investor complained about him, based on publicly available information found on FINRA BrokerCheck. Evidently, Bridwell was registered with FBL Marketing Services LLC from January 13, 1988, to October 2, 2024. Read on to find out more […]

Investors potentially incurred losses because of securities broker Mark Allen Carter [CRD: 6387371, Charlotte, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carter worked for Pruco Securities LLC from September 8, 2014, through March 25, 2024. Readers should see below to discover more about Carter’s disclosures and regulatory history. FINRA Sanctioned […]

Investors apparently complained about securities broker Paul Richard Meyer [CRD: 3062534, Minnetonka, Minnesota], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Meyer has worked for RBC Capital Markets LLC beginning on October 11, 2017, where he has been registered as both a broker and investment adviser. Keep reading to discover more […]

FINRA sanctioned securities broker Brandon Vito Spano [CRD: 4601257, Saddle Brook, New Jersey], and investors complained about him, based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Spano worked for MML Investors Services LLC from August 22, 2023, to December 13, 2023; Equitable Advisors LLC from January 3, 2019, to June […]

FINRA fined securities broker Brenton Edward Ditto [CRD: 4779103, Elizabethtown, Kentucky], and an investor complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ditto worked for LPL Financial LLC from October 30, 2014, to August 28, 2025. See the following information to find out more about Ditto’s disclosures and […]

Investors potentially incurred losses because of securities broker Eduardo Leon Jr. [CRD: 2232647, Houston, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Leon has been registered with Global Financial Services, L.L.C. since July 12, 1994, serving clients through the firm’s Houston office. Keep reading for details about the disclosures […]

FINRA fined and suspended securities broker Justin Casey Funakura [CRD: 5718194, Bakersfield, California], according to public information on FINRA BrokerCheck. Evidently, Funakura worked for Farmers Financial Solutions LLC from October 21, 2009, to October 23, 2023. Read below to learn more about the disclosures involving Funakura. FINRA Sanctioned Funakura For Private Securities Transactions Evidently, on […]

FINRA suspended securities broker Muhammad Rehmatullah Wahdy [CRD: 6266210, San Francisco, California], according to disclosures on FINRA BrokerCheck. Evidently, Wahdy worked for Merrill Lynch from December 20, 2022, to June 7, 2023. Keep reading to learn more about Wahdy’s regulatory disclosures and client-related matters. FINRA Sanctioned Wahdy For Outside Business Activities Evidently, on April 11, […]