Luke Foster Lannister (also known as Lucas Foster Seward), of Rockville, Maryland, a stockbroker registered with Grove Point Investments LLC, has been discharged by the securities broker dealer on November 28, 2023, based upon allegations that Lannister charged excessive commissions and engaged in unauthorized trading in stocks. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows…
Clayton Kwok Shum, of Burlingame, California, a stockbroker registered with Grove Point Investments LLC, has been discharged by the securities broker dealer on January 12, 2023, based upon allegations that Shum engaged in unapproved customer-related financing activities and did not report customer complaints. Financial Industry Regulatory Authority (FINRA) Public Disclosure also shows that Shum is…