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 […]

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 […]

Investors potentially sustained damages through securities broker Christopher Joseph McCoy [CRD: 4113108, Montclair, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA sanctioned him for unauthorized trading. Evidently, Christopher McCoy worked for Calton Associates Inc. from August 31, 2012, to December 20, 2022. Below, you’ll find a […]

Investors might have sustained losses due to securities broker Robert Spaulding Gleason Jr. [CRD: 1415067, Owensboro, Kentucky], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robert Gleason worked for IFP Securities LLC from February 2, 2022, to May 6, 2022, and Cantella Co. Inc. from November 21, 2016, to December 23, 2021. […]

FINRA permanently barred securities broker Lori Fleischhacker Copeland [CRD: 6437019, Charlotte, North Carolina], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lori Copeland worked for LPL Financial LLC from May 26, 2021, to January 30, 2023. Continue reading to learn more about the disclosures linked to Lori Copeland's professional conduct. Regulatory Sanction Issued Against […]