Financial Advisor Investigations

A.G.P. / ALLIANCE GLOBAL PARTNERS

• Francis Schiavetti

Aegis Capital

• Alvery A. Bartlett Jr.

Airlink Markets

• Christopher J. Christensen

Allstate Financial Services

• Stephen Carl Bransburg Jr

Alexander Capital

• Christopher Laffey
• Shawn Weadock

AMJ Financial Wealth Management

• Fridtjov Markussen

American Equity Investment

• Donald Wayne Rhodes

Ameriprise Financial Services

• Charles Gemmer
• Gwendolyn Hayes
• Michael Seth Lehman
• Brian Megibow
• Walter S. Schram

Arkadios Capital

• George Terlizzi

Avantax

• Brian Glaze
• Kenneth Hamada

Beacon Pointe Advisors

• Heather R. Oneill

Benjamin Securities

• Michael Lawrence Coyne

BOK Financial Securities

• Matthew Mitchell 

Bailey & Co. Securities

• John Bailey

Berthel, Fisher & Company Financial Services

• Brian Eric Cantel 

Brookstone Wealth Advisors

• Kimsey Allen Hollifield

Buckman, Buckman & Reid

• Alfred Gerald Block

Calton & Associates

• Daryl Ray Calton
• Siamak Eghlidi
• Christopher R. Peitz

Cambridge Investment Research

• Kevin Albritton
• Amy Ann Brandts
• Brian Lee Culver
• Stephen Fortin
• Christopher A. Gill

Cape Securities

• Danny Ray Strain

Capital Investment Group

• Tammie Farrell
• Bowman Nicholson

Capitol Securities Management

• Ian Greenblatt

CDP Financial Group

• Brian Joseph Perkins

Centaurus Financial

• Michael Lee Chauvenet
• Orion Kelly Willis

Cetera Advisor

• Eliab F. Alonzo
• Victoria Marie Bogner
• Gihan Fernando
• Derek McLean
• David Isaiah Strunc
• Robert Westbrook

Charles Schwab & Co.

• Matthew Grant Gehring
• Thomas Gene Williams

Colorado Financial Service Corporation

• Russell Fieger

Concorde Investment Services

• Jeffrey L. Bangerter
• Alan Bartlett Harrison

Consolidated Portfolio Review

• David Lau

Cornerstone Financial Planning

• John William Wolf

Craft Capital Management

• Kevin Springstead

CreativeOne Securities

• John Reed Mickelson

Crown Capital Securities

• Hugh Barndollar

CS Planning Corp.

• Curt Stauffer

CUSO Financial Services

• Chase Naccarato

David Lerner

• Nicholas Jembelis

D.H. Hill Securities

• Robert Dechick

Dempsey Lord Smith

• Joel Goldberg
• Jesse Julian Griffin Jr.
• Rajesh C. Jyotishi

Dinosaur Financial Group

• Carlton P. Fletcher

Emerson Equity

• Paul Getty

Equitable Advisors

• Chun Elmejjad
• Victor Torres

Equity Services

• Keith Craig Baron

Exit Wealth Advisors

• Theodore Jenkin

Fidelity Brokerage Services

• Antonio Del Castillo
• Saralyn Scaldini

Fifth Third Securities

• Jennifer Medlin

Geneos Wealth Management

• Michael John Osland 

Glendale Securities

• Huanwei (Andy) Huang

Hilltop Securities

• Rajesh Markan

IBN Financial Services

• Angelo J. Piccone

Independent Financial Group

• Brett Arthur Hartvigson
• Daniel H. Mann
• John R. Nelson
• Michael Tannery

Innovation Partners

• David Anthony Reo

Integrity Alliance

• Mark Jeffery Martin

Integrity Brokerage

• Joshua Helmle

IRC Securities

• Armando Alejandro Barron

J.P. Morgan Securities

• Jesus Cantu

Jazzberry Digital Solutions

• James Elroy Burton Jr

Joseph Stone Capital

• Christopher Gallo

Kestra Investment Services

• Philip Joseph Amos
• Ashley W. Caudle
• Nicholas M. Ellis
• Pamela Espinosa
• Thomas Lundgaard
• Adam B. Steen

L.M. Kohn & Company

• Kenneth H. Nahrstedt

Landolt Securities

• Ting Kuo Chen

Lincoln Investment

• Robert Raymond Restino

Lincoln Financial Advisors

• J. Craig McIlroy

LPL Financial

• Leigh Allen
• Steven Blanchard
• Christopher Cavallaro
• Richard Ceffalio Jr
• Timothy Cleveland
• Daniel Dee Countiss
• Daniel Deno
• Joseph Eisler
• Roger Given
• Michael C. Graham
• Cassandra Heitz
• Kevin Herne
• Edward T. Hill
• Frederick Earl Hilton
• Michael Hyser
• Michael J. Kelley
• Li Kelly
• Robert Li
• J Craig McILROY
• Michael McNicholas
• Douglas Nelson
• Mario Rivero Jr.
• Stephen Rogers
• John Ulwick
• Nouachi Vang
• Joanna Ingberg Westcott
• William Westcott

MCADAM

• Philip Allen Simonides

Merrill Lynch, Pierce, Fenner & Smith

• Ian Biggs
• Joseph D. Gibbons
• Robert Moon
• Iryna Pavlivna Warren
• Jason Weese
• Mark Willets

MML Investors Services

• Barry J. Bellina
• Lester F. Hamrick
• Justin Roberto
• Robert Snider

Moloney Securities

• Edward James Balmes
• Derrick Brauner
• David Norval Wood 

Morgan Stanley

• Noah Alweiss
• Jean-Pierre Gobic
• Stacie Kirkland
• Stephen Robert Marotto
• Kenper Miller
• James Richard Sophia JR

M Holdings Securities

• Patrick S. Maguire
• Thomas C. Rapp

NatAlliance Securities

• James Etter

Nationwide Planning Associates

• Anthony T Megaro

Navigation Wealth Management, Inc.

• Adam Brunin

Newbridge Financial Services Group

• Christopher Shaw

Newbridge Securities Corporation

• John Gerard Forrester Jr.
• John Kirkland Moy

NI Advisors

• Antoine Shamlee

Northwest Financial Advisors

• Russell Cesari

Northwestern Mutual Investment Services

• Joseph Cannon
• Raymond Brown
• Derek Ober

NY Life Securities

• Pragnesh Bhatt
• Dennis Carter

OneAmerica Securities

• Paul Lekousis

Oppenheimer & Co.

• Randy Moshtael

Osaic FA

• Kirk O’Brien

Osaic Wealth

• Nicholas Biddle

PHX Financial

• Daniel Diaz
• Ali Mahlooji

Primerica Advisors

• Brett Wooten

Purshe Kaplan Sterling Investments

• Marc Clinton Davis
• Lora Jane Hoff
• Michael Jerome Lickiss
• Colleen Maron
• Victoria Thu-Van Pazzalia

Raymond James

• Jonathan Earl Best
• David Norman Dunn
• Garry Martin
• Francesco Traina
• James Leonard Peterson
• Karen Kikue Yoshimura Yasukawa

RBC Capital Markets

• Sanjay Mathur

Reid & Rudiger LLC

• Marc Harrison
• Clifford Ronald Reid

Realta

• Donald Lee Wells

Revere Securities

• Daniel Reilly

Rockefeller Financial

• Robert L. Moon

Scissortail Wealth Management

• Todd Charles Welsh

Securities America

• Curtis Wilson

St. Bernard Financial Services

• Adam Kennon Brown

Stifel Nicholas & Company

• Thomas Bolton
• Kenneth Carl Ramos

State Farm VP Management Corp.

• Kyle Lindner

 Steward Partners Investment Advisory

• Keith Morgan

Stirlingshire Investments

• Martin Barwikowski

Stonecrest Capital Markets

• Enrique Pascual Jr

Spartan Capital Securities

• Jordan Paul Meadow

TCFG Wealth Management

• Peter Joseph Glowacki

TD Ameritrade Investment Management

• Lok Kei Kelvin Wong 

Thrivent Investment Management

• Michael Gregory Shackel

TKC Wealth Management

• Ting Kuo Chen

Triad Advisors

• Mark Just
• Richard Keith Robertson

U.S. Bancorp Investments

• Mimi Yoo Park

UBS Financial Services

• Casey Arundel
• William Walker Brown
• Anibal Drelichman Jr.
• Jason Christopher Klein
• William Scott Meador
• Barry Schwartz
• Leonard Jay Suskind
• Steven Syslo

USA Financial Securities

• Gerald B. Hanifan Jr.

Vanguard Marketing Corporation

• Aviva Miller
• Michael Patrick

Vestech Securities

• Felipe Nery Arrieta

Wedbush Securities

• Marc Michael Miller

Wells Fargo Advisors

• James R. Alperin
• Oybek (Beck) Giyazov
• Sandro Mariano Olivos
• Forrest Wester

Western International Securities

• Anthony Mampieri
• Opher Shallom
• David Gary Simon
• Peter Lee Waldron
• Carolyn R. Wyatt

WestPark Capital

• Alfred Sietze Vanderlaan