Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Matthew Bradley Mitchell (also known as Matthew Mitchell) [CRD: 4854608, Tulsa, Oklahoma]. Mitchell previously worked for BOK Financial Securities Inc. from August 2008 to January 2023 before joining Aegis Capital Corp. in January 2023. Recent disclosures raise concerns about Mitchell’s professional conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Laura Casey (also known as Laura H. Casey, Laura Aline Hubbard, and Laura H. Hubbard) [CRD: 2684465, Red Bank, New Jersey]. Laura Casey worked for Morgan Stanley from July 2018 to September 2022 and later joined Capitol Securities Management Inc. in August 2022. However, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Joel Randy Freedman (CRD#: 1260557, Radnor, Pennsylvania). Freedman has been employed in the securities industry for 40 years and has worked with several firms, including Morgan Stanley (2009-2024). As of April 2024, he is registered with Sanctuary Securities Inc. and Sanctuary Advisors LLC in […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Andrew Netrosio (also known as Jay Netrosio) (CRD#: 2743225, Middletown, New York). Netrosio has been registered in the securities industry for 27 years, working with multiple firms, including HSBC Securities, TD Ameritrade, and CUNA Brokerage Services. Since May 18, 2022, he has been […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Scott Lerner (CRD#: 1883553, Hauppauge, New York). Lerner has over 33 years of experience in the securities industry and has been associated with multiple firms, including Madison Global Partners LLC and Network 1 Financial Securities Inc. Recent disclosures highlight regulatory actions and client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Charles Donald Lombardi Jr. (also known as Chad Lombardi.) [CRD: 2846847, New Haven, Connecticut]. Lombardi has been registered as a broker and investment adviser with Morgan Stanley since June 1, 2009. Recent disclosures reveal concerns regarding Lombardi’s conduct, including allegations of excessive trading and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ayad Beshara Saad (CRD#: 1912377, Melbourne, Florida). Saad previously worked at Morgan Stanley from March 2013 to December 2023. Recent disclosures highlight concerns regarding Saad’s professional conduct, including allegations of misrepresentation, unauthorized transactions, and employment terminations. Learn more about these disclosures below. Settled Client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Viqas Akhtar (also known as B. Akhtar) [CRD#: 5624412, Miami, Florida]. Viqas Akhtar has been employed at four firms over his 14-year career. He is currently registered with B. Riley Wealth Management, where he has worked since July 22, 2022. Prior to this, Akhtar […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Brian Swan [CRD#: 1698430, Westlake Village, California]. Swan has been registered with Western International Securities, Inc. since May 27, 2008, and has over 36 years of experience in the securities industry. Recent disclosures reveal concerns about Swan’s conduct, including allegations of unsuitable recommendations, […]