Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals that securities broker Jeffrey Thomas Higgins [CRD: 2871443, Baker City, Oregon] has been barred as a securities broker. Higgins worked for Western International Securities Inc. from August 21, 2017, to June 27, 2024. Notably, Higgins’ failure to cooperate with a FINRA investigation into potential misappropriation of client funds […]

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) barred securities broker Austin Richard Dutton Jr. [CRD: 2739167, Doylestown, Pennsylvania], according to disclosures on BrokerCheck. Not only that, but investors at both Newbridge Securities Corporation and American Trust Investment Services Inc. complained about him. Evidently, Austin Dutton. worked for American Trust Investment Services Inc. from May 27, 2020, to […]

Investors possibly experienced losses because of securities broker Herbert C. White [CRD: 3125223, Greenwood Village, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Herbert White worked for Woodbury Financial Services Inc. as a securities broker from April 4, 2003, to January 19, 2024. Woodbury Financial Services Inc. Investor Accused White Of […]

FINRA expelled securities broker James Brett Stuart (also known as Bradley Lee Thompson) [CRD: 3022149, Castle Rock, Colorado], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, James Stuart worked for Richfield Orion International Inc. from December 10, 2007, to November 3, 2022. Here’s more about the securities broker’s disclosures. James Stuart Committed Supervisory Failures, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Jae Hun Kim [CRD: 4620963, Cortlandt Manor, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jae Kim worked for E1 Asset Management from February 6, 2003, to March 4, 2024. Here’s more about […]

Evidently, FINRA issued an Acceptance, Waiver Consent (AWC) on April 25, 2019, sanctioning Harry Buckman for supervisory failures. Notably, FINRA found that Buckman failed to adequately oversee two former registered representatives at his firm, resulting in unsuitable and excessive trading in multiple investors' accounts. Because of this, Buckman faced civil fine of $20,000, a suspension […]

Regulators have sanctioned securities broker Frank Levi Martin (also known as Frange Martin and Frangel Martinez) [CRD: 2859847, Brooklyn, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martin joined LPL Financial LLC on July 26, 2019. Continue reading to learn more about Martin's disclosures. Maryland Regulator Sanctioned Martin For Supervision […]

Did you invest through securities broker Tim Vorpahl (also known as Timothy James Vorpahl) [CRD#: 1457312, Spokane, Washington]? Evidently, Vorpahl joined Vorpahl Wing Securities Inc. in 1999. FINRA sanctioned him for his failure to supervise. FINRA Sanctioned Vorpahl For Failure To Supervise And Inadequate Procedures Particularly, on March 11, 2022, FINRA issued Case: 2020065149802 sanctioning […]