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 […]

FINRA issued sanctions to securities broker Christopher Mack Watkins (also known as Christopher Watkins) [CRD: 2376887, Farmington, Utah], and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christopher Watkins worked for Watkins Financial Services Inc. from September 22, 2000, to December 31, 2023. Keep reading to learn […]

FINRA sanctioned securities broker Arthur Bruce McQuaide [CRD: 4581876, Garden City, New York], and an investor complained about him, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Arthur McQuaide worked for Spartan Capital Securities LLC from January 26, 2016, to December 22, 2022. Keep reading to learn more about the securities broker’s disclosures. McQuaide […]

Investors possibly experienced losses because of securities broker Ariel A. Rivero [CRD: 4236679, Coral Gables, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ariel Rivero joined Insigneo Securities LLC on December 16, 2021, and Insigneo Advisory Services LLC on December 22, 2021. Previously, he worked for Leucadia Asset Management LLC from […]