Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Richard Jay Rustic (CRD#: 1128406, Bristol, Connecticut). Rustic has been registered with Commonwealth Financial Network since February 26, 2002. Previously, he was affiliated with First Investors Corporation from April 1983 to February 2002. Recent disclosures reveal concerns regarding Rustic's professional conduct, specifically allegations of […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michelle Elise Anthony (also known as Michelle Elise Murphy, Michelle Elise Murphy Anthony, Michelle Elise Murphy-Wall) [CRD#: 4512228, Tucson, Arizona]. Michelle Anthony has worked in the securities industry for over 21 years and is currently registered with Centaurus Financial Inc. in Tucson, Arizona. Since […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Matthew Bradley Mitchell (also known as Matthew Mitchell) [CRD: 4854608, Tulsa, Oklahoma]. Mitchell previously worked for BOK Financial Securities Inc. from August 2008 to January 2023 before joining Aegis Capital Corp. in January 2023. Recent disclosures raise concerns about Mitchell’s professional conduct, including allegations […]

MARIO JOSEPH PAYNE was previously registered as a broker and is currently registered as an investment advisor.Payne was previously listed as a broker with RAYMOND JAMES of Jacksonville, Florida, from 05/03/2013 - 02/12/2019. According to the SEC website, Payne is now listed as an investment advisor with TOAMS FINANCIAL of Jacksonville, Florida. According to FINRA’s […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Mark Douglas Erwin (CRD: 3039639, Napa, California). Erwin has been registered with Commonwealth Financial Network since January 5, 2006, and has over 26 years of experience in the financial industry. Recent disclosures reveal concerns about Erwin’s conduct, including allegations of unauthorized distributions and unsuitable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Marcel Pahmer (CRD#: 4565391, Newport Beach, California). Pahmer worked for Centaurus Financial Inc. from November 2007 to January 2025 and previously for AXA Advisors LLC from October 2002 to November 2007. Recent disclosures reveal concerns about Pahmer’s conduct, including allegations of recommending unsuitable, high-risk, […]

According to a recent article in LeapRate.com, it was reported that GTS Securities was fined a total of $150,000 by the Financial Industry Regulatory Authority (FINRA). The FINRA report lists the date initiated as February 13, 2025. FINRA said in its release that the fine is for publishing inaccurate trade execution reports and failing to maintain […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Lorraine Gallette (also known as Lorraine Marie Schmidt) (CRD#: 6192487, El Dorado Springs, Missouri). Gallette was previously registered with Coastal Equities Inc. from July 2013 to January 2021 and later joined Moloney Securities Co. Inc., where she remained until April 2022. Recent disclosures reveal […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Lawrence Roger Rice (CRD#: 375304, Lauderdale by the Sea, Florida). Rice was previously registered with multiple firms, including Centaurus Financial Inc. (2022-2024) and Ameriprise Financial Services Inc. (2014-2022). Recent disclosures indicate that FINRA has permanently barred Rice from acting as a broker or associating […]