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 […]

Investors might have sustained losses due to Lawrence Richard Brockman [CRD: 1126810, Poland, Ohio], and FINRA sanctioned the securities broker, based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brockman worked for Moors Cabot Inc. from January 29, 2016, to October 11, 2022. Continue reading to learn more about Brockman's client disputes […]

Investors might have sustained losses due to Larry Joseph Michaels [CRD: 4351477, Orange, California], and FINRA sanctioned the securities broker, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Larry Michaels has been registered with Crown Capital Securities L.P. since October 16, 2012. Continue reading to learn more about the disclosures linked to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Grant Douglas Johnson [CRD: 2355556, Boca Raton, Florida], considering the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Johnson was registered with Noble Capital Markets Inc. from February 3, 2021, to February 3, 2023. Keep reading to […]

FINRA suspended and fined securities broker Emily Jean Smith (also known as Emily Jean Hinton) [CRD: 6287728, Vero Beach, Florida], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Emily Smith worked for Raymond James Financial Services Inc. from July 15, 2019, to July 7, 2023. Continue reading to learn more about Smith’s professional conduct […]

FINRA suspended and fined securities broker Andre Krause [CRD: 4060322, Woodbridge, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Andre Krause joined The Investment Center Inc. on January 14, 2005. Keep reading to learn more about Andre Krause’s regulatory issues and how they might have affected his clients. FINRA Fined […]

Financial Industry Regulatory Authority (FINRA) sanctioned broker Valence Montgomery Williams [CRD: 1389729, New York, New York]. Williams's career includes positions at J.H. Darbie Co. Inc. from July 17, 2018, to December 19, 2023, and at Aegis Capital Corp. from March 23, 2010, to July 18, 2018, both based in New York, NY. Here’s a closer […]