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, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Robert Keith Brooks aka Robert Keith Stuart (CRD #1571789, Registered Principal, Miami, Florida) was fined $7,500 and suspended from association with any FINRA member in any capacity for two […]