Albert Hopkins (CRD #: 2738850), a broker registered with PNC Investments, is the subject of an investor dispute, according to his BrokerCheck record, accessed on […]
Michael Grembi (CRD #: 6297449), a broker registered with Principal Securities, allegedly failed to fully inform a client, according to his BrokerCheck record, accessed on […]
Chi-I Huang (CRD #: 5387713), a broker registered with Integral Financial, is the subject of an investor dispute, according to her BrokerCheck record, accessed on […]
William Weber Incurs Tax Lien
Jun 25, 2025
Articles
William Weber (CRD #: 4023631), a broker registered with Lincoln Investment, has incurred a tax lien, according to his BrokerCheck record, accessed on May 15, […]
Mickey Zayas Incurs Civil Lien
Jun 25, 2025
Civil Suit
Mickey Zayas (CRD #: 5857177), a broker registered with Wells Fargo Clearing Services, has incurred a civil lien, according to his BrokerCheck record, accessed on […]
Michael DeWitt (CRD #: 6482214), a broker formerly registered with Fidelity Brokerage Services, resigned from that firm, according to his BrokerCheck record, accessed on May […]
Luke Kloosterman (CRD #: 7140599), a broker formerly registered with Thrivent Investment Management, was fired from that firm, according to his BrokerCheck record, accessed on […]
James Pillow Fired from Moors & Cabot
Jun 25, 2025
Fired Brokers
James Pillow (CRD #: 2991508), a broker registered with Cambridge Investment Research, was fired from his previous firm, according to his BrokerCheck record, accessed on […]
Luigi Mazza Allegedly Failed to Follow Client’s Instructions
Jun 25, 2025
Failure to Follow Instructions
Luigi Mazza (CRD #: 3025837), a broker registered with Oppenheimer & Company, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed […]
Stephen Marotto (CRD #: 5473140), a broker registered with Morgan Stanley, allegedly made misrepresentations, according to his BrokerCheck record, accessed on May 14, 2025. If […]