Michael Puma (CRD #: 2460247), a previously registered broker with Oppenheimer & Co., is the subject of an investor dispute. This disclosure appears on his […]
Dan King: Terminated and Barred Following Allegations of Unsuitable Use of Margin
Aug 31, 2023
FINRA Suspension
Dan King (CRD #: 5954543) has been fired by Kingswood Wealth Advisors (CRD #: 5954543), according to his BrokerCheck record, accessed on August 30, 2023. […]
Bud Arnett (CRD #: 1080126), a previously registered broker with Prospera, is facing allegations that he made unsuitable use of margin in an investor’s account. […]
John Engler Allegedly Recommended Unsuitable Margin Investment Strategy
May 10, 2023
Margin Disputes
John Engler (CRD #: 835827), a broker registered with Ameriprise Financial Services, allegedly recommended unsuitable investments, according to his BrokerCheck record, accessed on May 3, […]
Stephen Noble (CRD #: 6068960), a broker registered with Charles Schwab & Company, allegedly engaged in conversion, according to his BrokerCheck record, accessed on March […]
Gregory Dufala (CRD #: 5353950), a broker registered with LPL Financial, was recently the subject of an investor dispute, according to his BrokerCheck record, accessed […]
Chad Morris (CRD #: 6131576), a broker registered with E*Trade Securities, is involved in a pending dispute, according to his BrokerCheck record, accessed on January […]
Ryan Vanderwood (CRD #: 6151492), a broker registered with E*Trade Securities, is the subject of a pending investor dispute, according to his BrokerCheck record, accessed […]
Jeffrey Graves (CRD #: 1398578), a broker registered with Cetera Advisor Networks, has been suspended by FINRA in a principal capacity, according to his BrokerCheck […]
Kevin Springstead (CRD #: 4937429), a broker registered with Craft Capital Management, is involved in an investor dispute. This is according to his BrokerCheck record, […]