Investors potentially experienced losses because of securities broker Stephen Romney Swensen (also known as Stephen Swenson) [CRD: 2885578, Clearfield, Utah], according to disclosures on FINRA BrokerCheck. According to the regulator, Stephen Swensen worked for J.W. Cole Financial Inc. from May 8, 2018, to July 2, 2018, and for Allegis Investment Services LLC from July 1, […]

SIOBHAN M SHAUGHNESSY (SIOBHAN M BRADY, SIOBHAN MARIE SHAUGHNESSY, SIOBHAN SHAUGHNESSY) is currently registered with UBS FINANCIAL SERVICES INC of Purchase, New York. SIOBHAN M SHAUGHNESSY has been registered as a broker with UBS since 9/22/2008, and as a financial advisor since 10/26/2021. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SIOBHAN […]

Investors might have sustained losses because of securities broker Stephen Edson Bush (also known as Steve Bush) [CRD: 1898917, Weddington, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Bush has worked for Capital Investment Group Inc. since August 31, 2018, and Capital Investment Advisory Services LLC since September 1, 2018. Previously, […]

Investors might have received losses due to securities broker Shane Alexander Appelbaum [CRD: 4772668, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Appelbaum has worked for Herbert J. Sims Co. Inc. since March 23, 2004, and Herbert J. Sims Capital Management Inc. since March 8, 2017. Read on to learn […]

DONALD LEE WELLS (DON WELLS) is currently registered as a broker with REALTA EQUITIES, INC., of Wilmington, Delaware, since 7/6/2023 and as a financial advisor with REALTA INVESTMENT ADVISORS of Seattle, Washington since 6/30/2023. Don Wells was previously registered with TITAN SECURITIES of Seattle, Washington. According to FINRA’s BrokerCheck, available to the public on FINRA’s […]

Investors potentially experienced losses because of securities broker Shadi Taysir Barakat (also known as Sean Barakat) [CRD: 5031281, New York, New York], according to disclosures on FINRA BrokerCheck. Specifically, Shadi Barakat worked for Alexander Capital, L.P. in Red Bank, New Jersey, from October 21, 2022, to October 24, 2022, and Spartan Capital Securities LLC in […]

Investors reportedly may have incurred losses due to securities broker Sanford Graham Simmons (also known as Sandy Simmons) [CRD: 1018907, Castle Rock, Colorado], according to disclosures on FINRA BrokerCheck. According to the regulator, Sanford Simmons worked for Saxony Securities Inc. from January 3, 2023, to October 2, 2024. Previously, he was employed at Patrick Capital […]

MARAT LIKHTENSTEIN was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 8/5/2024. He was previously registered both as a broker and as an investment advisor. He was a broker with OSAIC WEALTH INC of Brooklyn, New York from 11/02/2018 - 06/27/2024.  According to the FINRA report, without […]

FINRA BrokerCheck barred securities broker Roy Kevin Williams [CRD: 843607, Indianapolis, Indiana], according to disclosures on BrokerCheck. According to the regulator, Williams worked for Stifel Nicolaus Company Inc. from June 17, 2009, to May 16, 2023. Here’s more about the securities broker’s disclosures. FINRA Sanctioned Williams For Failing To Testify Specifically, on September 5, 2024, […]