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, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Evan Jay Adelglass (also known as Evan Jan Adelglass) [CRD#: 2392225, Ansonia, Connecticut]. Evan Adelglass has worked for LPL Financial LLC since August 31, 2005. Recent disclosures reveal concerns about Adelglass’s conduct, including allegations of unsuitable investment recommendations and client disputes. October 7, 2024 […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Peter Joseph Glowacki (also known as Pete Glowacki) [CRD: 1156214, Laguna Niguel, California]. Glowacki previously worked for TCFG Wealth Management, LLC from April 2023 to April 2024, and for RBC Capital Markets, LLC from March 1998 to March 2023. Recent disclosures reveal concerns about […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jae Hun Kim (also known as Jae Kim) [CRD: 4620963, Cortlandt Manor, New York]. Jae Kim worked for E1 Asset Management, Inc. from February 2003 to March 2024, a tenure spanning 21 years. Recent disclosures reveal concerns about Kim’s conduct as both financial advisor […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Roy Paige [CRD: 1726609, Vero Beach, Florida]. James Paige worked in the securities industry for 36 years, spanning four firms. Since October 31, 2008, he has been employed by Wells Fargo Clearing Services, LLC and Wells Fargo Advisors in Vero Beach, Florida. Recent […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities principal Yong Soo Kim (also known as Yong Kim) [CRD: 1747849, Los Angeles, California]. Kim joined Kayan Securities Inc. on November 28, 2011. Kim was employed as a principal responsible for supervising trading activities at Kayan Securities. Keep reading to learn more about the sanctions […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Stewart Ginn (also known as Stewart Taylor and Paxton Ginn Jr.) [CRD: 4503197, Santa Maria, California]. Evidently, Ginn joined Independent Financial Group LLC on September 3, 2015, and worked for Navian Capital Securities LLC in Cincinnati, Ohio, from February 18, 2021, to March 10, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Scott Eugene Buck [CRD: 1374445, Stow, Ohio]. Buck has worked for LPL Financial LLC since September 10, 2008. Keep reading to learn more about a recent regulatory action involving this broker. FINRA Sanctions Scott Buck for Unauthorized Trading Evidently, on July 22, 2024, FINRA […]