Broker Blog

Jenny Zhou (CRD #: 6427569), a broker registered with GTS Securities, has been fined by both the NYSE and NYSE Arca, according to her BrokerCheck […]

Charles Holt (CRD #:1943440), a broker formerly registered with Hightower Securities, is involved in two similar investor disputes, according to his BrokerCheck record, accessed on […]

James Montalto (CRD #:1017800), a broker and investment adviser registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, is involved in an investor dispute according […]

Justin Fendrick (CRD #:6801510), a formerly registered broker, was recently fired by UBS Financial Services according to his BrokerCheck record, accessed on February 2, 2022.  Termination […]

Jose Cruz (CRD #:4771173), a broker and investment advisor registered with  LPL Financial, is involved in an investor dispute according to his BrokerCheck record, accessed […]

Marc Lowell (CRD #:1866525), a broker registered with Alliance Global Partners, was fired by  LPL Financial according to his BrokerCheck record, accessed on February 2, […]

Heather Skipper (CRD #:2126799), a formerly registered broker, was recently fired by Wells Fargo Clearing Services according to her BrokerCheck record, accessed on February 2, 2022.  […]