Broker Blog

William Weisbrod (CRD #: 812664), a previously registered broker with Purshe Kaplan, has been barred by FINRA. This disclosure appears on his BrokerCheck record, accessed […]

Robert Judge (CRD #: 1147009), a previously registered broker with LPL Financial, is the subject of a FINRA suspension, according to his BrokerCheck record, accessed […]

Daniel Schmidt (CRD #: 5771519), a broker registered with State Farm VP Management Corp, is the subject of an investor dispute alleging he failed to […]

Jorge Baquero (CRD #: 6847919) has been suspended by FINRA, according to his BrokerCheck record, accessed on September 27, 2023. If you have questions about […]

Andrew Martinez (CRD #: 5950799), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was the subject of an eight-day suspension. This disclosure appears […]

Wesley Triani (CRD #: 1025539) has been barred by FINRA , according to his BrokerCheck record, accessed on September 27, 2023. He was most recently […]

Richard Matheis (CRD #: 869179), a previously registered broker with Union Capital Bank, has been barred by FINRA. This disclosure appears on his his BrokerCheck […]

Stephen Lawler (CRD #: 1193477), a broker registered with Cetera Advisors, is the subject of an investor dispute, according to his BrokerCheck record, accessed on […]

Allen Soulek (CRD #: 1873068), a broker registered with Kovack Securities, is the subject of an investor dispute, according to his BrokerCheck record, accessed on […]

Michael Kirwan (CRD #: 270892), a broker registered with American Portfolios Financial Services, is the subject of an investor dispute involving a variable annuity. This […]