Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Laura Casey (also known as Laura H. Casey, Laura Aline Hubbard, and Laura H. Hubbard) [CRD: 2684465, Red Bank, New Jersey]. Laura Casey worked for Morgan Stanley from July 2018 to September 2022 and later joined Capitol Securities Management Inc. in August 2022. However, […]

Complaint Against WILLIAM CARL WESTCOTT The FINRA BrokerCheck report for WILLIAM CARL WESTCOTT (Bill Westcott) disclosed a complaint from an investor regarding an alleged unsuitable investment recommendation by the firm.  WILLIAM CARL WESTCOTT is a financial advisor/broker based in Tucson, Arizona, and is registered with LPL Financial as both a broker and an investment advisor. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Laura Beth Barnes (CRD#: 4482198, Winterset, Iowa). Barnes previously worked for Moloney Securities Co. Inc. from July 2012 to December 2024 and for Eagle One Investments LLC from July 2005 to July 2012. Recent disclosures highlight regulatory actions against Barnes concerning violations of Regulation […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Kim Ray Kunz (CRD#: 718618, Atascadero, California). Kunz was previously registered with WestPark Capital Inc. from November 2017 to January 2025, and has worked at several other firms throughout his 44-year career in the securities industry. Recent disclosures highlight regulatory actions and client disputes […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Justin Y. Gerow (CRD: 4435995, Punta Gorda, Florida). Gerow was previously registered as a broker and investment adviser. His most recent employment was with LPL Financial LLC from January 2023 to May 2023, following a 21-year tenure at PFS Investments Inc. from 2001 to […]

Soreide Law Group, based in South Florida, has filed a FINRA arbitration on behalf of their client (Claimant) against: CONCORDE INVESTMENTS SERVICES, LLC. (Respondent) The Claimant resides in Southwest Florida and maintained a relationship with CONCORDE INVESTMENTS SERVICES and its Financial Advisor, Bart Harrison. The lawsuit alleges that CONCORDE INVESTMENTS SERVICES and Bart Harrison understood […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John Christoforidis (CRD: 2841315, Garden City, New York). Christoforidis previously worked for multiple brokerage firms, including Spartan Capital Securities LLC from 2016 to 2024. Recent regulatory actions disclose that FINRA has barred Christoforidis from the securities industry following his refusal to provide on-the-record testimony […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Joel Randy Freedman (CRD#: 1260557, Radnor, Pennsylvania). Freedman has been employed in the securities industry for 40 years and has worked with several firms, including Morgan Stanley (2009-2024). As of April 2024, he is registered with Sanctuary Securities Inc. and Sanctuary Advisors LLC in […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jennifer Lillian Basey (also known as Jennifer Lillian Hilliard) (CRD#: 4730054, McDonough, Georgia). Basey has been registered with American Global Wealth Management Inc. since November 16, 2023. Previously, she was employed by Stifel Nicolaus from January 2020 to November 2023 and Edward Jones from […]