Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Collins D. Bhola [CRD: 6533629, Melville, New York]. Bhola worked for NYLIFE Securities LLC from November 22, 2016, to April 29, 2024. Recently, a FINRA investigation was initiated to explore the circumstances behind his termination from the securities firm and any potential violations of […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disciplinary actions involving securities broker Cladius Olaniran Tokunboh [CRD: 6058294, Lewisville, Texas]. Tokunboh worked for TIAA-CREF Individual and Institutional Services LLC from July 28, 2015, to July 14, 2022. FINRA investigated Tokunboh for potential undisclosed outside business activities during his employment at TIAA-CREF. Keep reading to learn more […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Stephen Stocks [CRD: 2600346, Paradise Valley, Arizona]. Stocks has a lengthy employment history, including working for Morgan Stanley DW Inc. from 2009 to 2021, and working for Prospera Financial Services Inc. since 2022. However, Stocks has been involved in client disputes and regulatory […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Caz Craffy (also known as Carz Levinski Craffey) [CRD: 5222223, Point Pleasant Beach, New Jersey]. Craffy worked for Newbridge Securities Corporation from May 2017 to March 2021 and with Monmouth Capital Management LLC from April 2021 to November 2022. Keep reading to learn more […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Brian Carroll Beh [CRD: 1500962, Richmond, Virginia]. Beh has worked for Frontier Solutions LLC since July 21, 2021, and worked for MMX Global Partners LLC from November 1, 2018, to December 18, 2020. Recently, FINRA took action against Beh for allegedly […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures involving securities broker Brent Christopher Fuchs [CRD: 4269916, Preston, Maryland]. Fuchs has worked for Lincoln Financial Advisors Corporation (now Osaic FA Inc.) as a securities broker since November 14, 2000, and as a financial advisor since January 22, 2001. His employment history includes client disputes, with one […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Brandon Larsen [CRD: 6192239, Green Bay, Wisconsin]. Evidently, Larsen worked for Thrivent Investment Management Inc. from October 3, 2013, to January 22, 2024, before joining Equity Services Inc. on February 21, 2024. Larsen’s disclosures include allegations of unauthorized trading and failure to disclose outside […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Bradley William Werner [CRD: 2329211, Porter, Indiana]. Evidently, Bradley Werner worked as financial advisor for Securities America Advisors Inc. from October 19, 2017, to December 21, 2023. He also worked as securities broker for Securities America Inc. during the same period. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Andrew Scheier [CRD: 2820778, New York, New York]. Evidently, Scheier has worked for Stifel Nicolaus Company Incorporated as a securities broker since August 21, 2007, and as a financial advisor since November 24, 2021. Recently, Scheier faced client disputes regarding his recommendations and strategies. […]