FINRA barred securities broker Eugene W. Antosh (also known as Geno Antosh) [CRD: 5450983, Portland, Connecticut], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Eugene Antosh worked for Ameriprise Financial Services LLC from July 23, 2014, to September 16, 2025. See below to learn more about disclosures involving Eugene Antosh as reported on […]

A Kansas regulator fined financial advisor David Gene Cox [CRD: 5518178, Overland Park, Kansas], and one or more investors complained about him, according to SEC Investment Adviser Public Disclosure. Notably, Cox was associated with Brookstone Capital Management LLC from April 10, 2008, to October 15, 2021, CreativeOne Wealth LLC from October 15, 2021, to May […]

Investors might have sustained losses due to Lawrence Richard Brockman [CRD: 1126810, Poland, Ohio], and FINRA sanctioned the securities broker, based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brockman worked for Moors Cabot Inc. from January 29, 2016, to October 11, 2022. Continue reading to learn more about Brockman's client disputes […]

According to FINRA’s BrokerCheck, on April 6, 2023, WILLIAM FORREST WINCHESTER III (William Winchester III) was barred by FINRA for allegedly borrowing money from clients and concealing the loans from compliance officers. Without admitting or denying FINRA’s findings, William Winchester III consented to the sanction and to the entry of findings that he allegedly borrowed […]