FINRA sanctioned securities broker George Ndifor Jing [CRD: 2835725, Rockville, Maryland], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jing worked for Transamerica Financial Advisors LLC from January 6, 2012, to August 11, 2025. Continue reading to learn more about the disclosures connected to Jing. FINRA Sanctioned Jing […]

Investors potentially experienced sales practice violations by securities broker Dimitrios Kosmo Michelis [CRD: 2920152, New York, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Michelis worked for UBS Financial Services Inc. from June 24, 2011, to September 10, 2025. Read on to discover more about Michelis’s […]

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 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 […]

FINRA barred securities broker Glenn Ngo [CRD: 7200876, San Diego, California], according to public information on FINRA BrokerCheck. Notably, Ngo worked for Park Avenue Securities LLC from March 22, 2023 to March 4, 2025, and Northwestern Mutual Investment Services LLC from February 11, 2022 to March 21, 2023. Read on to learn more about the […]

One or more investors apparently complained about securities broker UnBo Chung (also known as Bob Chung) [CRD: 6208569, Chicago, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chung has worked for Arete Wealth Management LLC since August 8, 2013, and Arete Wealth Advisors LLC since December 5, 2013. He was previously […]

Investors might have sustained losses due to securities broker Lucas R. Hales [CRD: 6258497, Austin, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lucas Hales worked for Virtu Americas LLC from September 26, 2018, to March 7, 2022, and for Virtu Financial BD LLC from May 11, 2016, to April 9, […]

FINRA fined securities broker Jeffrey Wayne Davidson [CRD: 4585780, Austin, Texas], and an investor complained about him. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, Davidson was employed by Purshe Kaplan Sterling Investments from 2022 to 2023. Also, he worked for Equitable Advisors LLC in 2022. The following information is an overview of the disclosures […]

Financial Industry Regulatory Authority (FINRA) expelled securities broker Bryan Noonan [CRD: 4864372, Scottsdale, Arizona], according to disclosures on BrokerCheck. Evidently, Bryan Noonan worked for Raymond James Financial Services Inc. from July 28, 2021, to March 7, 2024, and Edward Jones from February 9, 2024, to June 26, 2024. Here’s more about Bryan Noonan's disclosures. FINRA’s […]