Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Tilak J. Shah [CRD: 6416854, Boston, Massachusetts]. Evidently, Shah worked for NYLife Securities LLC in 2022 and Cetera Investment Services from 2022-2023 . Keep reading to learn more about the regulatory actions and client dispute surrounding Shah, including the recent allegations that led to […]

VINCENT JEROME CAMARDA, the most recently with, IBN Financial Services, Inc., and Traderfield Securities, of Massapequa, New York, according to FINRA's BrokerCheck, has 19 disclosures on his FINRA CRD report.  Of the 19 disclosures, 17 are “Customer Disputes,” 13 were filed in 2024 alone. The damage amounts requested for 5 of the pending disputes from […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Thomas Edwin Moran [CRD: 1938300, New York, New York]. Evidently, Moran has worked for Citigroup Global Markets Inc. since January 4, 2013. Previously, he worked for Gruntal Co. LLC. Investors have raised concerns about Moran’s sales practices, leading to client disputes over the years. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Stewart Ginn (also known as Stewart Taylor and Paxton Ginn Jr.) [CRD: 4503197, Santa Maria, California]. Evidently, Ginn joined Independent Financial Group LLC on September 3, 2015, and worked for Navian Capital Securities LLC in Cincinnati, Ohio, from February 18, 2021, to March 10, […]

The Securities and Exchange Commission (SEC) reached a settlement of $437,900 in penalties with Maloney Securities Co. Inc. and three of its financial advisors, for violating Regulation Best Interest (Reg BI) in the sales of bonds issued by GWG Holdings Inc., which declared bankruptcy in April 2022, according to a recent article in InvestmentNews. Regulation Best Interest […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Stephen Paul Haskell [CRD: 6864948, Richmond, Virginia]. Haskell has worked for securities firms including WealthForge Securities LLC, where he was involved in the sale of private placements, and FNEX Capital LLC, where he has been employed since January 21, 2022. Some investors have raised […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Scott Eugene Buck [CRD: 1374445, Stow, Ohio]. Buck has worked for LPL Financial LLC since September 10, 2008. Keep reading to learn more about a recent regulatory action involving this broker. FINRA Sanctions Scott Buck for Unauthorized Trading Evidently, on July 22, 2024, FINRA […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals important details about securities broker Ronnie Rindon Dumag (also known as Ronnie R. Dumag) [CRD: 4783585, Sacramento, California]. Dumag worked for PFS Investments Inc. from August 16, 2004, to May 22, 2024. Recently, Dumag faced allegations involving harm to an elderly client. Evidently, FINRA barred him from the […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Ronald Harland Berg [CRD: 19008, Anaheim, California]. Evidently, Berg worked for Innovation Partners LLC until May 31, 2024, when FINRA permanently barred him from associating with any FINRA member. Keep reading to learn more about Berg’s client disputes and the regulatory actions against him. […]