Broker Blog

Todd Anderson (CRD #: 1896352), a broker formerly registered with Benchmark Investments, was recently suspended by FINRA, according to his BrokerCheck record, accessed on May […]

Jenny Zhou (CRD #: 6427569), a broker registered with GTS Securities, has been fined by both the NYSE and NYSE Arca, according to her BrokerCheck […]

Stephen Florio (CRD #: 1186577), a broker formerly registered with Cambridge Investment Research, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]

John Wallin (CRD #: 6000899), a broker registered with SprinkleBrokerage, was suspended by FINRA in a principal capacity, according to his BrokerCheck record, accessed on […]

David Carlson (CRD #: 2214571), a broker registered with UBS Financial Services, allegedly failed to follow an investor’s instructions, according to his BrokerCheck record, accessed […]

Paul Tramontozzi (CRD #: 4709307), a broker registered with LPL Financial, allegedly executed an unauthorized investment transaction, according to his BrokerCheck record, accessed on May […]

Russell Pierce (CRD #: 2010254), a broker registered with LPL Financial, allegedly engaged in misconduct, according to his BrokerCheck record, accessed on May 17, 2023. […]

Adam Corwin (CRD #: 6650208), a broker registered with MML Investors Services, is involved in a pending dispute, according to his BrokerCheck record, accessed on […]

Larry Ware (CRD #: 3053841), a broker registered with Avantax Investment Services, allegedly gave unsuitable investment recommendations, according to his BrokerCheck record, accessed on May […]

 J. Brian Glaze (CRD #: 5373140), a broker registered with Avantax Investment Services, allegedly made unsuitable investment recommendations, according to his BrokerCheck record, accessed on […]