Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Cabourne Blaszyk (CRD: 5364851, Boca Raton, Florida). Blaszyk has been registered with Wells Fargo Clearing Services LLC since April 10, 2008, and Wells Fargo Advisors since April 15, 2008. Recent disclosures reveal concerns regarding Blaszyk’s investment recommendations, including a pending client dispute alleging […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gene Tulley West Jr. (CRD: 1569050, Greenwood Village, Colorado). West has been registered with RBC Capital Markets LLC since March 2, 1998, and has over 38 years of experience in the securities industry. Recent disclosures reveal concerns about West’s conduct, including allegations of unsuitable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Frank Enrique Lumpuy [CRD: 2108307, Miami, Florida]. Lumpuy has worked in the securities industry for over 32 years and was most recently registered with Kovack Securities Inc. from June 2006 to February 2024. Recent disclosures reveal concerns about Lumpuy’s professional conduct, including client disputes, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Donald Ralph Hancock [CRD: 828811, Manchester, Missouri]. Hancock has worked in the securities industry for over 48 years, holding registrations with several firms, including Moloney Securities Co. Inc. since 2010 and Moloney Securities Asset Management LLC since 2016. Recent disclosures highlight regulatory concerns and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Paul Wilson Jr. (also known as David P. Wilson Jr., David Wilson) [CRD: 2298962, Haverford, Pennsylvania]. Wilson has accumulated 32 years of experience in the securities industry and has been associated with seven different firms during his career. As of December 2024, he […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Francis LaGrange (also known as David LaGrange) [CRD: 4200976, Winterset, Iowa]. LaGrange has been registered with Moloney Securities Co. Inc. since July 31, 2012, and has over 24 years of experience in the securities industry. Recent disclosures reveal concerns about LaGrange’s conduct, including […]

FINRA BrokerCheck reveals disclosures about securities broker Daryl Ray Calton (CRD# 1002304, Mesa, Arizona), previously registered with Calton Associates Inc. from 1991 to 2023. He also held positions at First Affiliated Securities Inc., Ambanc Securities Inc., and Buchanan Co. Inc. over his 42-year career. Recent disclosures raise concerns about allegations of unsuitable investment recommendations. Settled […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Darren Robert Grossman (CRD#: 5762586, Bala Cynwyd, Pennsylvania). Grossman has been registered with Centaurus Financial Inc. since March 21, 2017. Previously, he was associated with MSI Financial Services Inc. from January 2011 to March 2017. Recent disclosures reveal concerns about Grossman’s conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Charles Donald Lombardi Jr. (also known as Chad Lombardi.) [CRD: 2846847, New Haven, Connecticut]. Lombardi has been registered as a broker and investment adviser with Morgan Stanley since June 1, 2009. Recent disclosures reveal concerns regarding Lombardi’s conduct, including allegations of excessive trading and […]