FINRA barred securities broker Carlton Fletcher [CRD: 2455798, New York, New York], based on disclosures found on FINRA BrokerCheck. Evidently, Fletcher worked for Dinosaur Financial Group, L.L.C. from January 4, 2010, to April 11, 2024. Keep reading to discover more about Fletcher’s disclosures. FINRA Sanctioned Fletcher For Refusing To Provide Documents On January 24, 2025, […]

FINRA fined and suspended securities broker Justin Casey Funakura [CRD: 5718194, Bakersfield, California], according to public information on FINRA BrokerCheck. Evidently, Funakura worked for Farmers Financial Solutions LLC from October 21, 2009, to October 23, 2023. Read below to learn more about the disclosures involving Funakura. FINRA Sanctioned Funakura For Private Securities Transactions Evidently, on […]

FINRA brought a complaint against securities broker Nana Kwame Kwakye-Bissah [CRD: 7044974, Washington, District of Columbia], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kwakye-Bissah worked for LPL Financial LLC from July 27, 2023, to October 7, 2024; Fidelity Brokerage Services LLC from May 14, 2020, to June 10, 2023; and […]

FINRA suspended securities broker Muhammad Rehmatullah Wahdy [CRD: 6266210, San Francisco, California], according to disclosures on FINRA BrokerCheck. Evidently, Wahdy worked for Merrill Lynch from December 20, 2022, to June 7, 2023. Keep reading to learn more about Wahdy’s regulatory disclosures and client-related matters. FINRA Sanctioned Wahdy For Outside Business Activities Evidently, on April 11, […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: WESTERN INTERNATIONAL SECURITIES, INC. (Respondent) The Claimant is in his late sixties and living in Los Angeles, California. On or about 2019, the Claimant was invited to a presentation on retirement by WESTERN INTERNATIONAL SECURITIES (WIS) former broker, Matthew Thomas […]

FINRA fined securities broker Todd Leightley [CRD: 4409118, Upper Sandusky, Ohio], based on public information on FINRA BrokerCheck. Evidently, Leightley has worked for Northwestern Mutual Investment Services LLC since December 5, 2001, and for the same firm in his investment adviser capacity since April 19, 2006. Read below to discover more about the disclosures involving […]

Investors might have sustained losses due to securities broker Matthew Joseph McDonald [CRD: 2837629, Walled Lake, Michigan], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McDonald joined Sigma Financial Corporation on November 11, 1999, and SPC on November 5, 2002. Keep reading to learn more about the disclosures concerning McDonald. Sigma […]

One or more investors possibly experienced losses because of securities broker Christopher Adam Knutson [CRD: 2997006, Melville, New York], according to disclosures on FINRA BrokerCheck. Evidently, Knutson joined Aegis Capital Corp. on August 27, 2014, where he continues to work at the firm’s office in Melville, New York. Keep reading to learn more about Knutson’s […]

FINRA Department of Enforcement brought a Complaint against securities broker Ali F. Chehab [CRD: 7625979, Portland, Oregon], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chehab worked for Merrill Lynch from July 24, 2023, to August 9, 2024. Keep reading to find out more about Chehab’s regulatory disclosures and investor […]