Investors might have received losses because of securities broker William Lee Campbell [CRD: 1180015, White Plains, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Campbell worked for David Lerner Associates Inc. from October 14, 2002, to May 18, 2023. Keep reading to learn more about the securities broker’s disclosures. FINRA Sanctioned […]

FINRA sanctioned securities broker John Alfred Dow Jr. [CRD: 2524415, Stillwater, Minnesota], according to disclosures on FINRA BrokerCheck. According to the regulator, John Dow worked for Morgan Stanley from August 1, 2012, to May 21, 2024. Here’s more about the disclosures concerning Dow. FINRA Barred Dow For Failure to Produce Documents Particularly, on January 6, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Seth McKinney (CRD: 5832597, Houston, Texas). McKinney has a 12-year career in the securities industry, working with firms such as FHN Financial Securities Corp. (2017-2023) and Coastal Securities Inc. (2013-2017). Recent disclosures indicate that McKinney has been suspended by FINRA due to unauthorized participation […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Scott Willard Taubman (also known as Scott W. Taubman, Scott Taubman) [CRD: 4809824, Peoria, Arizona]. Taubman previously worked for several brokerage firms, including Ameriprise Financial Services LLC from 2017 to 2022. Recent disclosures raise concerns about Taubman’s conduct, including regulatory sanctions and a pending […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Justin Y. Gerow (CRD: 4435995, Punta Gorda, Florida). Gerow was previously registered as a broker and investment adviser. His most recent employment was with LPL Financial LLC from January 2023 to May 2023, following a 21-year tenure at PFS Investments Inc. from 2001 to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Anida Venniro (also known as Enida Kerciku, Enida Venniro) [CRD#: 5121189, Orlando, Florida]. Anida Venniro worked for Ameriprise Financial Services, LLC from March 2021 to June 2024 and previously held positions at LPL Financial LLC, among others, during her 17-year career. Recent disclosures reveal […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Kyle William Chapman [CRD: 6303483, Henderson, Nevada]. Kyle Chapman worked for American Trust Investment Services from November 2020 to July 2022 and WestPark Capital, Inc. from August 2018 to October 2020. Recent disclosures reveal concerns about Chapman’s conduct, including allegations of unsuitable investment recommendations […]

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 […]