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 […]