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, […]

FINRA fined securities broker Todd Leightley [CRD: 4409118, Upper Sandusky, Ohio], based on public information on FINRA BrokerCheck. Evidently, Leightley has worked for Northwestern Mutual Investment Services LLC since December 5, 2001, and for the same firm in his investment adviser capacity since April 19, 2006. Read below to discover more about the disclosures involving […]

FINRA suspended and fined securities broker Jose Antonio Navarro (also known as Tony Navarro) [CRD: 2250454, Los Angeles, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Navarro worked for Independent Financial Group LLC from December 7, 2017 to August 15, 2023, and LPL Financial LLC from September 8, 2009 to December […]

FINRA fined securities broker Maxim Patvonimic Tulupnikoff (also known as Maxim Dmitrievi Tulupnikov and as Maxim Tulupnikov) [CRD: 6188857, Westport, Connecticut], according to disclosures on FINRA BrokerCheck. It appears that Tulupnikoff joined David Lerner Associates Inc. on June 24, 2013, and Spirit of America Management Corp on March 29, 2018. Below, you can find out […]