Failure to Supervise

Grant Wagstaff (CRD #: 6719012), a broker registered with Fidelity Brokerage Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck […]

John Hervig (CRD #: 2973513), a broker registered with Fidelity Brokerage Services, is the subject of an investor dispute. This is according to his BrokerCheck […]

Damian Maggio (CRD #: 2864247), a broker registered with Joseph Stone Capital, is the subject of two pending investor disputes, according to his BrokerCheck record, […]

Kelly Lawson (CRD #: 1222498), a broker registered with Portsmouth Financial Services, is the subject of a six-figure investor dispute, according to her BrokerCheck record, […]

Ronald Metcalf (CRD #: 1280602), a broker registered with Cetera Advisor Networks, allegedly failed to supervise other brokers, according to his BrokerCheck record, accessed on […]

Thomas Jandt (CRD #: 2332028), a broker registered with WestPark Capital, is involved in a pending dispute, according to his BrokerCheck record, accessed on June […]

Timothy Hassell (CRD #: 2188768), a broker registered with American Trust Investment Services, is involved in a pending dispute, according to his BrokerCheck record, accessed […]

Scott Weisman (CRD #: 2367813), a broker registered with Etico Partners, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on […]

David Smith (CRD #: 850797), a broker registered with Intervest International Equities Corporation, is involved in a pending dispute, according to his BrokerCheck record, accessed […]

Damon Gallagher (CRD #: 2693825), a broker registered with Morgan Stanley, is named in a pending investor dispute, according to his BrokerCheck record, accessed on […]