FINRA Investigation

Judah Spinner (CRD #: 7039921), a broker formerly registered with PFS Investments, allegedly engaged in undisclosed outside business activities, according to his BrokerCheck record, accessed […]

Joshua Scholnick (CRD #: 7720831), a broker formerly registered with MML Investors Services, has been investigated by FINRA, according to his BrokerCheck record, accessed on […]

Venugopal Reddy (CRD #: 5125813), a broker previously registered with World Choice Securities, has been investigated by FINRA, according to his BrokerCheck record, accessed on […]

Jack Bailey (CRD #: 5708044), a broker registered with Bailey & Company Securities, is under investigation by FINRA, according to his BrokerCheck record, accessed on […]

Jeffrey Bailey (CRD #: 3171436), a broker registered with Bailey & Company Securities, is the subject of a FINRA investigation, according to his BrokerCheck record, […]

Sean Lawton (CRD #: 2201192), a previously registered broker with Windward Capital, is the subject of a FINRA investigation. This disclosure appears on his BrokerCheck […]

Tejinder Singh (CRD #: 2547590), a broker registered with Reliance Capital Management Advisors, is the subject of a FINRA investigation. This disclosure appears on his […]

Chris Martin (CRD #: 4179127), a broker registered with Centaurus Financial, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, […]

Anthony Meere (CRD #: 1251122), a broker registered with David Lerner Associates, is the subject of a FINRA investigation. This disclosure appears on his BrokerCheck […]

Michael Cody (CRD #: 5056324), a previously registered broker with Pruco Securities, is the subject of a FINRA investigation. This disclosure appears on his BrokerCheck […]