JON PETER LINDBERG, according to the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck, was a former broker with PROEQUITIES, INC of Birmingham, Alabama from 08/02/1989 - 08/10/2018. On FINRA’s BrokerCheck, available to the public on FINRA’s website, two “Regulatory” actions listed are currently pending. On May 27, 2020, the state of Montana initiated a regulatory action […]

EDWARD T HILL (EDWARD HILL, ED HILL, EDWARD TERRAL HILL) has been registered both as an investment advisor and broker with LPL FINANCIAL LLC of West End, North Carolina since 3/1/2018. Hill was previously registered both as a broker and investment advisor with EDWARD JONES of West End, North Carolina from 2012-2018. According to FINRA’s […]

JASON PRICE LAMB has been registered as a broker with ARETE WEALTH MANAGEMENT, LLC of Nashville, Tennessee since 2/8/2021.  He was previously registered with CENTER STREET SECURITIES of Soquel, California, from 06/17/2009 - 12/01/2023. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JASON PRICE LAMB, has been in the securities industry for […]

KERRIE COE (KERRIE A COBB, KERRIE COBB, KERRIE A COE, KERRIE A LEMON) is currently registered as a broker with WELLS FARGO CLEARING SERVICES, LLC, and as an investment advisor with WELLS FARGO ADVISORS, both in Indianapolis, Indiana, since 9/17/2024. She was previously listed both as a broker and financial advisor with CETERA INVESTMENT ADVISERS […]

MARIO JOSEPH PAYNE was previously registered as a broker and is currently registered as an investment advisor.Payne was previously listed as a broker with RAYMOND JAMES of Jacksonville, Florida, from 05/03/2013 - 02/12/2019. According to the SEC website, Payne is now listed as an investment advisor with TOAMS FINANCIAL of Jacksonville, Florida. According to FINRA’s […]

According to a recent article in LeapRate.com, it was reported that GTS Securities was fined a total of $150,000 by the Financial Industry Regulatory Authority (FINRA). The FINRA report lists the date initiated as February 13, 2025. FINRA said in its release that the fine is for publishing inaccurate trade execution reports and failing to maintain […]

Complaint Against WILLIAM CARL WESTCOTT The FINRA BrokerCheck report for WILLIAM CARL WESTCOTT (Bill Westcott) disclosed a complaint from an investor regarding an alleged unsuitable investment recommendation by the firm.  WILLIAM CARL WESTCOTT is a financial advisor/broker based in Tucson, Arizona, and is registered with LPL Financial as both a broker and an investment advisor. […]

Soreide Law Group, based in South Florida, has filed a FINRA arbitration on behalf of their client (Claimant) against: CONCORDE INVESTMENTS SERVICES, LLC. (Respondent) The Claimant resides in Southwest Florida and maintained a relationship with CONCORDE INVESTMENTS SERVICES and its Financial Advisor, Bart Harrison. The lawsuit alleges that CONCORDE INVESTMENTS SERVICES and Bart Harrison understood […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Scott Lerner (CRD#: 1883553, Hauppauge, New York). Lerner has over 33 years of experience in the securities industry and has been associated with multiple firms, including Madison Global Partners LLC and Network 1 Financial Securities Inc. Recent disclosures highlight regulatory actions and client […]