ADAM EDWARD BRUNIN (ADAM E BRUNIN, ADAM BRUNIN) is currently registered as an investment advisor with Navigation Wealth Management of Ft. Collins, Colorado since 4/5/2016. ADAM E BRUNIN was previously registered as a broker with Sigma Financial Corporation of Ft. Collins, Colorado from 11/08/2005 - 02/22/2016, and as an investment advisor with SPC of Ft. […]

Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]

Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]

FINRA sanctioned securities broker Christopher Philip Arnella [CRD: 4886531, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Arnella worked for Morgan Stanley since June 1, 2009, as a securities broker and since June 27, 2013, as a financial advisor. Regulatory records indicate that Arnella was sanctioned by FINRA for […]

FINRA is pursuing an enforcement action against securities broker Christopher James Christensen [CRD: 7680869, Issaquah, Washington], according to disclosures on FINRA BrokerCheck. According to the regulator, Christensen worked for Airlink Markets LLC from October 18, 2023, to March 20, 2024. FINRA has alleged that Christensen failed to provide documents and testimony as part of an […]

Investors might have received losses because of securities broker Christopher Carl Cavallaro [CRD: 2125009, Lighthouse Point, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Cavallaro has worked for LPL Financial LLC since October 7, 2016, and Integrated Wealth Concepts LLC since October 17, 2016. Here’s more about Cavallaro’s disclosures. LPL Financial LLC […]

Investors reportedly may have incurred losses due to securities broker Christopher Brian Riggs [CRD: 4133082, Petersburg, Virginia], according to disclosures on FINRA BrokerCheck. According to the regulator, Christopher Riggs worked for LPL Financial LLC from September 19, 2007, to October 26, 2023. Keep reading to learn more about Christopher Riggs’ disclosures. LPL Financial LLC Investor […]

Investors potentially experienced losses because of securities broker Brian C. Pfeifler (also known as Bman C. Pfeifler) [CRD: 2083301, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Pfeifler has worked for Morgan Stanley since June 1, 2009, working from offices in New York, New York, and Palm Beach, Florida. […]

Investors apparently complained about securities broker B. David Goldstein [CRD: 1718066, Rancho Mirage, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Goldstein worked for Western International Securities Inc. from May 29, 2015, to June 22, 2022, and later for Securities America Inc. from June 22, 2022, to June 14, 2024. Presently, Goldstein […]