Beliveau Bays (CRD #: 6034987) is the subject of a FINRA investigation, according to his BrokerCheck record, accessed on September 8, 2023. Keep reading for […]
Scott Norvell Subject of a FINRA Investigation into Allegations of Negligence
Sep 6, 2023
FINRA Investigation
Scott Norvell (CRD #: 2196706), a broker registered with Brokers International Financial Services, is the subject of a FINRA investigation. This disclosure appears on his […]
Charles Shields (CRD #: 2067177), a broker registered with Wells Fargo Clearing Services, was recently investigated by FINRA, according to his BrokerCheck record, accessed on […]
Delaina Kucish (CRD #: 4401092), a broker formerly registered with Edward Jones, was recently investigated by FINRA, according to her BrokerCheck record, accessed on May […]
Sidney Lebental (CRD #: 5543658), a broker formerly registered with BofA Securities, was recently investigated by FINRA, according to his BrokerCheck record, accessed on March […]
Giancarlo Varia (CRD #: 6608778), a broker registered with J.P. Morgan Securities, has been investigated by the California Department of Insurance, according to his BrokerCheck […]
Andrew Grant (CRD #: 2709882), a broker registered with Network 1 Financial Securities, has been suspended by FINRA twice, according to his BrokerCheck record, accessed […]
Randell Ogden (CRD #: 2019815), a broker registered with Cambridge Investment Research, was recently investigated by FINRA, according to his BrokerCheck record, accessed on February […]
Brendan Ercole (CRD #: 6391100), a broker registered with Cambridge Investment Research, was recently the subject of a FINRA investigation, according to his BrokerCheck record, […]
James Iannazzo (CRD #: 2807988), a broker registered with Aegis Capital Corporation, was recently investigated by FINRA, according to his BrokerCheck record, accessed on January […]