Marc Harrison (CRD #: 1605568), a broker registered with Reid & Rudiger, is the subject of a FINRA investigation. This disclosure appears on his BrokerCheck […]
Rebecca Belicek (CRD #: 2106922), a broker registered with Dawson James Securities, is the subject of an investor dispute. This disclosure appears on her BrokerCheck […]
Andrew Shaw (CRD #: 6010358), a broker registered with Edward Jones, is the subject of an investor dispute. This is according to his BrokerCheck record, […]
Vern Hart Allegedly Did Not Work in an Elderly Investor’s Best Interest
Aug 30, 2024
Excessive Trading
Vern Hart (CRD #: 1122114), a broker registered with Raymond James & Associates, is the subject of an investor dispute. This is according to his […]
Martin Noonan Allegedly Failed to Respond to a FINRA Request Following a Bar
Jun 28, 2024
Excessive Trading
Martin Noonan (CRD #: 2982159) has been barred by FINRA. He also is facing a new regulatory action. These disclosures appear on his BrokerCheck record, […]
Mark Augusta (CRD #: 1333913), a broker registered with Hilltop Securities, is the subject of a new investor dispute. This disclosure appears on his BrokerCheck […]
Jonathan Bourgeois (CRD #: 5757664), a broker registered with Wells Fargo Clearing Services, is the subject of an investor dispute. This is according to his […]
Scott Hechler Allegedly Engaged in Excessive and Unauthorized Trading
May 17, 2024
Excessive Trading
Scott Hechler (CRD #: 5277526), a broker registered with Spartan Capital Securities, is the subject of an investor dispute. This is according to his BrokerCheck […]
David Kaiser (CRD #: 2461995), a broker registered with Cambridge Investment Research, is the subject of an investor dispute. This is according to his BrokerCheck […]
Shaun Stein (CRD #: 4873578), a broker registered with B. Riley Wealth Management, is the subject of his third investor dispute. This disclosure appears on […]