Broker Blog

Kristi Gruett (CRD #: 2600368), a broker registered with Morgan Stanley, is the subject of a pending investor dispute, according to her BrokerCheck record, accessed […]

Jim Morrison (CRD #: 1254375), a broker registered with Kestra Investment Services, is involved in a pending dispute, according to his BrokerCheck record, accessed on […]

Christine Warner (CRD #: 4001584), a broker registered with Monticello Financial Group, has been suspended by FINRA, according to her BrokerCheck record, accessed on January […]

Corey Engelhard (CRD #: 2788550), a broker registered with Morgan Stanley, was recently the subject of an investor dispute, according to his BrokerCheck record, accessed […]

Thomas Prichard (CRD #: 6488840), a broker registered with Edward Jones, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on […]

Marc Portnoy (CRD #: 718810), a broker registered with UBS Financial Services, is the subject of a pending investor dispute, according to his BrokerCheck record, […]

Ahmed Gheith (CRD #: 5783951), a broker registered with Ceros Financial Services, has been suspended by FINRA, according to his BrokerCheck record, accessed on January […]

Every year, FINRA announces areas of compliance it will prioritize when performing routine examinations of firm practices. FINRA chooses these areas based on deficiencies the […]

Chuanbing Rong (CRD #: 6931802), a broker registered with GlobaLink Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on January 17, […]

Kimberly Nuessmann (CRD #: 1596560), a broker formerly registered with Securities America, allegedly impersonated a deceased client, according to her BrokerCheck record, accessed on January […]