When navigating U.S. securities law, two commonly encountered provisions are Rule 144 and Rule 144A. Though the rules sound similar, they serve quite different functions and apply to different circumstances. Below is a refined explanation of each rule and their main distinctions. What Is Rule 144A? Rule 144A provides a “safe-harbor” exemption from the registration […]

Investors potentially experienced sales practice violations due to securities broker Enrique Lopez (also known as Rick Lopez) [CRD: 2209385, Mission, Texas], based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lopez worked for LPL Financial LLC in McAllen, Texas, from March 13, 2008, to August 8, 2018, and has been registered with […]

Investors apparently complained about securities broker George Edward Hovany [CRD: 1188851, Vernon Hills, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hovany worked for Wintrust Investments LLC from November 21, 2008, to July 6, 2020. Read below to find out more about the disclosures related to Hovany. Wintrust Investments Investor Accused […]

Investors reportedly complained about securities broker William Jeffrey Carlton (also known as Jeff Carlton) [CRD: 1132967, McLean, Virginia], according to disclosures on FINRA BrokerCheck. Evidently, Carlton worked for UBS Financial Services Inc. from September 21, 2007, to January 12, 2024, before joining Aegis Capital Corp. on December 21, 2023, where he is currently registered in […]

Investors might have sustained losses due to securities broker Alan Duane Douglass (also known as Roof Douglass) [CRD: 1619835, Clearwater, Florida], based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Douglass worked for Investacorp Inc. from March 7, 1995, to July 17, 2020; for Securities America Inc. from July 17, 2020, to […]

Investors potentially experienced sales practice violations due to securities broker Mark John Williams [CRD: 4061842, Carmel, California], based on disclosures on FINRA BrokerCheck. Williams worked for Kingswood Capital Partners LLC from November 9, 2021, to October 30, 2024, Forta Financial Group Inc. from March 12, 2021, to December 9, 2021, and Centaurus Financial Inc. from […]

Investors apparently complained about securities broker Alain Alberto Ohayon (also known as Allen Alberto Ohayon) [CRD: 1180975, Melville, New York], based on publicly available information FINRA BrokerCheck. Evidently, Ohayon has been registered with Aegis Capital Corp. since September 17, 2013. Read on to discover more about the disclosures involving this broker. Aegis Capital Corp. Investor […]

Investors potentially experienced sales practice violations due to securities broker Suzette Lawrence (also known as Suzy Lawrence) [CRD: 2651541, Pasadena, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lawrence has worked for Independent Financial Group LLC since March 15, 2024, and previously was with D.A. Davidson Co. from November 25, 2013, […]

Investors reportedly complained about securities broker Michael Alexander Lackwood Jr. [CRD: 4742917, Rockaway, New Jersey], according to disclosures on FINRA BrokerCheck. Evidently, Lackwood worked for Oppenheimer Co. Inc. from September 6, 2011, to July 12, 2018, and APW Capital Inc. from August 10, 2018, to April 30, 2020. Read on to discover more about the […]