Broker Blog

Robert Fort (CRD #: 2505390), a broker formerly registered with Charles Schwab & Company, has been suspended by FINRA, according to his BrokerCheck record, accessed […]

Bryan Wisda (CRD #: 4347213), a broker formerly registered with UBS Financial Services, was the subject of a state regulatory action, according to his BrokerCheck […]

Janet Shepherd (CRD #: 4831353), a broker registered with Morgan Stanley, allegedly failed to fully inform a client, according to her BrokerCheck record, accessed on […]

Sara Zhang (CRD #: 6975430), a broker registered with HSBC Securities (USA), allegedly failed to fully inform a client, according to her BrokerCheck record, accessed […]

Wyatt Beard (CRD #: 7298200), a broker registered with Charles Schwab & Company,was the subject of an investor dispute, according to his BrokerCheck record, accessed […]

Randy Chin (CRD #: 4294433), a broker registered with Osaic Wealth, is the subject of an investor dispute, according to his BrokerCheck record, accessed on […]

Alice Leopold-Benintendi (CRD #: 1547235), a broker registered with Oppenheimer & Company, was fired from her previous firm, according to her BrokerCheck record, accessed on […]

Mason Coon (CRD #: 7743845), a broker formerly registered with Charles Schwab & Company, was fired from that firm, according to his BrokerCheck record, accessed […]

Steven Glick (CRD #: 7703423), a broker formerly registered with Wells Fargo Clearing Services, was fired from that firm, according to his BrokerCheck record, accessed […]

Sebastian Agudeloisaza (CRD #: 6565033), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, was the subject of a Texas regulatory action, according […]