Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Roger Philip Turcotte [CRD: 1180997, Tampa, Florida]. Recent regulatory actions highlight concerns regarding Turcotte’s conduct, specifically allegations involving inaccurate recordkeeping and violations of firm policies. Regulatory Action by FINRA On September 3, 2024, FINRA initiated disciplinary action against Roger Turcotte, citing violations related to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Victor Alan Lessinger (CRD#: 830821) previously of Boca Raton, Florida. Lessinger’s career spans over 44 years, with employment at nine firms, including Colorado Financial Service Corporation from October 2012 to April 2023. Recent disclosures highlight concerns about Lessinger’s conduct, including regulatory actions and client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Stewart Ginn (also known as Stewart Taylor and Paxton Ginn Jr.) [CRD: 4503197, Santa Maria, California]. Evidently, Ginn joined Independent Financial Group LLC on September 3, 2015, and worked for Navian Capital Securities LLC in Cincinnati, Ohio, from February 18, 2021, to March 10, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Scott Eugene Buck [CRD: 1374445, Stow, Ohio]. Buck has worked for LPL Financial LLC since September 10, 2008. Keep reading to learn more about a recent regulatory action involving this broker. FINRA Sanctions Scott Buck for Unauthorized Trading Evidently, on July 22, 2024, FINRA […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Kurt Allen Berry [CRD: 4550773, Elizabethton, Tennessee]. Berry worked for Vanderbilt Securities LLC from November 1, 2019, to July 7, 2022, and Regulus Advisors LLC from October 5, 2016, to November 6, 2019. Recently, Berry has faced sanctions and a client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker John E. Pelletier [CRD: 4205289, Wauwatosa, Wisconsin]. Pelletier worked for BMO Harris Financial Advisors Inc. from August 1, 2012, to March 24, 2021. Recently, Pelletier faced allegations related to unauthorized trading, leading to fines and a suspension from FINRA. Keep reading to learn more […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Azmi Patrick Sharif [CRD: 6481342, Elmhurst, Illinois]. Evidently, Sharif worked for LPL Financial LLC from July 19, 2018, to January 19, 2023, and has since worked for KCD Financial Inc. and Fourstar Wealth Advisors LLC in Oakbrook Terrace, Illinois. Sharif is involved in client […]

Investors might have sustained losses due to securities broker Lucas R. Hales [CRD: 6258497, Austin, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lucas Hales worked for Virtu Americas LLC from September 26, 2018, to March 7, 2022, and for Virtu Financial BD LLC from May 11, 2016, to April 9, […]

FINRA fined securities broker Jeffrey Wayne Davidson [CRD: 4585780, Austin, Texas], and an investor complained about him. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, Davidson was employed by Purshe Kaplan Sterling Investments from 2022 to 2023. Also, he worked for Equitable Advisors LLC in 2022. The following information is an overview of the disclosures […]