Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Frank Enrique Lumpuy [CRD: 2108307, Miami, Florida]. Lumpuy has worked in the securities industry for over 32 years and was most recently registered with Kovack Securities Inc. from June 2006 to February 2024. Recent disclosures reveal concerns about Lumpuy’s professional conduct, including client disputes, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Donald Ralph Hancock [CRD: 828811, Manchester, Missouri]. Hancock has worked in the securities industry for over 48 years, holding registrations with several firms, including Moloney Securities Co. Inc. since 2010 and Moloney Securities Asset Management LLC since 2016. Recent disclosures highlight regulatory concerns and […]

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 […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Paul Wilson Jr. (also known as David P. Wilson Jr., David Wilson) [CRD: 2298962, Haverford, Pennsylvania]. Wilson has accumulated 32 years of experience in the securities industry and has been associated with seven different firms during his career. As of December 2024, he […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Francis LaGrange (also known as David LaGrange) [CRD: 4200976, Winterset, Iowa]. LaGrange has been registered with Moloney Securities Co. Inc. since July 31, 2012, and has over 24 years of experience in the securities industry. Recent disclosures reveal concerns about LaGrange’s conduct, including […]

FINRA BrokerCheck reveals disclosures about securities broker Daryl Ray Calton (CRD# 1002304, Mesa, Arizona), previously registered with Calton Associates Inc. from 1991 to 2023. He also held positions at First Affiliated Securities Inc., Ambanc Securities Inc., and Buchanan Co. Inc. over his 42-year career. Recent disclosures raise concerns about allegations of unsuitable investment recommendations. Settled […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Darren Robert Grossman (CRD#: 5762586, Bala Cynwyd, Pennsylvania). Grossman has been registered with Centaurus Financial Inc. since March 21, 2017. Previously, he was associated with MSI Financial Services Inc. from January 2011 to March 2017. Recent disclosures reveal concerns about Grossman’s conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Charles Donald Lombardi Jr. (also known as Chad Lombardi.) [CRD: 2846847, New Haven, Connecticut]. Lombardi has been registered as a broker and investment adviser with Morgan Stanley since June 1, 2009. Recent disclosures reveal concerns regarding Lombardi’s conduct, including allegations of excessive trading and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian Hayden Solomon (CRD: 1715160, Encinitas, California). Solomon has worked in the financial industry for 37 years and has been registered with Independent Financial Group LLC since 2005. Recent disclosures reveal concerns regarding Solomon’s conduct, including allegations related to the suitability of investments and […]