Why This Matters to You If you’re investing your hard-earned money, you deserve to know…
About 40 broker-dealers sold close to $1.8 billion in GWG Holdings Class L bonds, and…
Alan Bartlett Harrison (also known as Bart Harrison), of Trussville, Alabama, a stockbroker registered with…
Brett Allen Rutherford, of Morehead City, North Carolina, a stockbroker previously registered with Capital Investment…
Brittani Corren Schaefer (also known as Brittani Corren Cooper), of St. Louis, Missouri, a stockbroker…
Christopher Taylor Harpin, of Essex, Connecticut, a stockbroker registered with Lincoln Financial Securities Corporation (now…
Dan Edward Wagner Jr., of Greenville, South Carolina, a stockbroker registered with Triad Advisors LLC,…
David Francis La Grange (also known as David Francis LaGrange), of Winterset, Iowa, a stockbroker…
Duncan Gerard MacEachern, of Royal Oak, Michigan, a stockbroker registered with Centaurus Financial Inc., is…
George Edward Hovany, of Vernon Hills, Illinois, a stockbroker registered with Wintrust Investments, is the…
George Mauae Purdy, of Tulsa, Oklahoma, a stockbroker registered with Cetera Investment Services LLC, was…
Glenn Allen Donnell, of Crystal River, Florida, a stockbroker registered with Securities America Inc., has…
Jason Keith Norton, of Carrollton, Georgia, a stockbroker registered with LPL Financial LLC, is the…
Joseph Adam Eisler, of New York, New York, a stockbroker registered with Morgan Stanley, has…
Kelly Ray Moore, of Houston, Texas, a stockbroker formerly affiliated with Cambridge Investment Research Inc.,…
Mary Beth Fisher Spuhler (also known as Mary Beth Fisher), of Camp Hill, Pennsylvania, a…
Michael Il Yoon, of Los Angeles, California, a stockbroker registered with MML Investors Services LLC,…
Michael William Risko, of Hyde Park, New York, a stockbroker registered with Infinex Investments Inc.,…
Muhammad Rehmatullah Wahdy, of San Francisco, California, a stockbroker formerly registered with Merrill Lynch Pierce…
Norman Hugh Meyer, of St. Louis, Missouri, a stockbroker registered with Vestech Securities Inc., is…
Paul Richard McGonigle, of New Bedford, Massachusetts, a stockbroker formerly registered with LPL Financial LLC,…
Peter Frederick Reinecke, of Saint Louis, Missouri, a stockbroker registered with Saxony Securities Inc., is…
Richard Joseph Perlongo, based in New York and registered with Spartan Capital Securities LLC, has…
Robert Lee Anderson III, of Hiawassee, Georgia, a stockbroker registered with Raymond James Financial Services…
Sean Francis Mostero, of Torrance, California, a stockbroker previously registered with LPL Financial LLC, has…
Thomas Anthony Rapp, of Morristown, New Jersey, a former stockbroker with M Holdings Securities Inc.,…
Thomas David Sharp (also known as Tom Sharp) of Gold River, California, a stockbroker formerly…
Viqas Akhtar, of Miami, Florida, a stockbroker registered with B. Riley Wealth Management, is the…
William Joseph Conn (also known as Bill Conn), of San Francisco, California, a stockbroker formerly…
Brendan Bryan Behan, of Melville, New York, a stockbroker registered with Aegis Capital Corp, was…
Christopher Thomas Brothers (also known as Chris Brothers), of Fort Lauderdale, Florida, a stockbroker registered…
Craig McIlroy, of Highlands Ranch, Colorado, a stockbroker registered with Lincoln Financial Advisors Corporation (now…
Avi Frohlichman, of San Diego, California, a stockbroker registered with Lincoln Financial Advisors Corporation, is…
Christopher James Christensen, of Issaquah, Washington, a stockbroker formerly registered with Airlink Markets LLC, has…
Cody Michael Keller, of Mechanicsburg, Pennsylvania, a stockbroker registered with Northwestern Mutual Investment Services LLC…
Daniel Paul Burkott, of Windsor, Connecticut, a stockbroker and the Chief Compliance Officer of Voya…
David Lee Jerke, a former stockbroker based in Tacoma, Washington, who was registered with LPL…
Derek Lee Copeland, of Charlotte, North Carolina, a stockbroker registered with LPL Financial LLC, has…
Eric Scott Felsenfeld, of Rockville, Maryland, a stockbroker registered with Kingswood Capital Partners LLC, was…
Gary Allen Didonna, of Osprey, Florida, a stockbroker registered with Spire Securities LLC, was the…
John Michael Palma, of New York, New York, a stockbroker registered with Worden Capital Management…
John William Wolf, of Appleton, Wisconsin, an investment advisor representative and President of Cornerstone Financial…
Jordan Paul Meadow, of New York, New York, a stockbroker previously registered with Spartan Capital…
Joseph Michael Cannon (also known as Joe Cannon), of Chicago, Illinois, a stockbroker registered with…
Joseph Robert Weinbauer, of St. Louis, Missouri, a stockbroker registered with Berthel Fisher Company Financial…
Isaiah Thomas Williams Jr., formerly associated with Merrill Lynch Pierce Fenner Smith Incorporated in Boca…
Linda Lucille Sokol Francis (also known as Linda Lucille Gundelach), of Brookfield, Illinois, a stockbroker…
Martin Allan Barth (also known as Martin Allen Barth), of Melville, New York, a stockbroker…
Michael Edwin Magruder (also known as Michael Magruder), of Orlando, Florida, a stockbroker registered with…
Michael Gregory Culwell (also known as Mike Culwell), of Irvine, California, a stockbroker registered with…