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 […]

Investors possibly lost money because of securities broker Todd Morris Mezrah [CRD: 2313891, Tampa, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mezrah worked for M Holdings Securities Inc. from December 19, 2001, to May 7, 2020, and then joined Lion Street Financial LLC and Lion Street Advisors LLC, both located […]

Financial Industry Regulatory Authority (FINRA) sanctioned broker Scott Michael Bremus [CRD: 4073006, Dacula, Georgia], and investors complained about his sales practices, according to disclosures on BrokerCheck. Evidently, Bremus most recently worked for LPL Financial LLC from October 14, 2016, to October 29, 2021. Here’s more about these disclosures. FINRA Suspended Bremus For Private Securities Transactions […]

Investors might have sustained losses because of securities broker Mitchell Steven Morrison (also known as Mitch Morrison) [CRD: 728484, Newport Beach, California], according to disclosures on FINRA BrokerCheck. Evidently, Morrison worked for Westpark Capital Inc. from August 31, 2020, to July 1, 2022, and from August 14, 2017, to February 20, 2019. He also worked […]