DELIO EDUARDO LONDONO (DEL E LONDONO, DEL LONDONO) was with SAGEPOINT FINANCIAL of La Crescenta, California, from 05/06/2010 - 09/16/2020.  Londono was previously registered both as a broker and as an investment advisor. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DEL E LONDONO, has been in the securities industry for 19 […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker William Robert Young (also known as Bill Young) [CRD: 4787488, Bethesda, Maryland]. Young’s employment history shows he worked for H. Beck Inc. from February 19, 2010, to October 17, 2017, and worked for Niagara International Capital Limited from October 16, 2017, to June 15, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Walter Frank Squires Jr. [CRD: 1955992, Derby, Connecticut]. Squires worked for LPL Financial LLC from 2011 to 2020 and Osaic Institutions Inc. from 2020 to 2024. Recent complaints allege that Squires engaged in unsuitable investment recommendations during his time at the firm. Read on […]

JACK B MCBRIDE was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on August 4, 2023. McBride was previously registered both as a broker and as an investment advisor. He was with B. RILEY WEALTH MANAGEMENT of Plymouth, Michigan from 08/11/2014 - 01/11/2022, and with NEWBRIDGE SECURITIES CORPORATION […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Timothy Neil Tremblay [CRD: 1201542, Santa Barbara, California]. Tremblay has worked for Centaurus Financial Inc. since May 16, 2003, where he worked as both a securities broker and financial advisor. A recent arbitration claim filed about Tremblay involves allegations of unsuitable recommendations of real […]

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, […]