Investors potentially incurred losses due to securities broker Rodger Drik Thomas (also known as Rod Thomas and Thomas Rod) [CRD: 4010563, Boca Raton, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas has been registered with Newbridge Securities Corporation since October 24, 2018, and with NFSG Corporation since October 30, […]

Investors apparently complained about securities broker Bruce Robert Beetz [CRD: 1527269, Hollister, California], based on disclosures on FINRA BrokerCheck. Evidently, Beetz has been registered with Emerson Equity LLC since November 4, 2019, and previously worked for Oak Tree Securities Inc. in Paicines, California, from April 2, 2001, to November 4, 2019. Read on to find […]

JOHN STEPHEN PRONOVOST (JOHN S PRONOVOST) was previously listed as a broker with OSAIC INSTITUTIONS INC of Watertown, Connecticut from 02/26/2021 - 08/05/2025. Pronovost was listed with CAMBRIDGE INVESTMENT RESEARCH INC of Watertown, Connecticut from 02/29/2008 - 03/02/2021 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN S PRONOVOST has 35 years […]

Investors potentially incurred losses because of securities broker Matthew Thomas Stratman [CRD: 5834026, Westlake Village, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stratman worked for Western International Securities Inc. from September 27, 2017, to December 31, 2023. Keep reading for details about Stratman’s disclosures. Western International Securities Investor […]

Investors have reportedly disputed the sales practices of securities broker Shalom Azar [CRD: 7125424, Hackensack, New Jersey], based on public information on FINRA BrokerCheck. Evidently, Shalom Azar has been registered with Wells Fargo Advisors Financial Network LLC since July 22, 2025, and previously worked for Morgan Stanley in Paramus, New Jersey, from July 22, 2021, […]

Investors potentially experienced sales practice violations by securities broker Alexander Fischman (also known as Sandy Fischman) [CRD: 5902109, Hackensack, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Alexander Fischman worked for Morgan Stanley from July 22, 2021, to August 20, 2025, and is currently registered with Wells Fargo […]

Investors apparently complained about securities broker Blake Edward Fellows [CRD: 4374810, Leesburg, Virginia], based on disclosures on FINRA BrokerCheck. Evidently, Fellows has been registered with Arkadios Capital since June 13, 2023, Wealthcare Capital Partners LLC since July 12, 2024, and Wealthcare Advisory Partners LLC since March 5, 2015. Previously, Fellows worked for Coastal Equities Inc. […]

GWG L Bond investors who have received notice of the $50,950,000.00 proposed class action settlement should understand the math involved in arriving at this number.  According to the class action notice, this proposed settlement provides an estimated investment recovery of approximately $30.46 per $1,000.00.  In other words, this will be a fraction of the original […]

DAVID KITCHEN FRANKLIN (DAVID K FRANKLIN) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 10/21/2025.  Franklin was formerly registered as a broker with INTEGRAL WEALTH SERVICES LLC of New York, NY from 08/06/2018 - 06/09/2025. According to the FINRA report, without admitting or denying FINRA’s […]