RBC Capital Markets broker Paul R. Meyer (CRD #3062534) has agreed to a six-week suspension and a $5,000 fine after the Financial Industry Regulatory Authority[...]
Broker / Advisor Investigations
A new chapter has opened in the ongoing regulatory scrutiny of Spartan Capital Securities. On November 24, 2025, the Financial Industry Regulatory Authority (FINRA) filed[...]
The Financial Industry Regulatory Authority (FINRA) has filed a disciplinary complaint against broker Gustave J. Schmidt (CRD #2709698). The complaint claims Schmidt steered customers into[...]
Kirk J. Crossen (CRD #2742256), a former broker registered with Morgan Stanley and later Raymond James & Associates, is facing a Financial Industry Regulatory Authority[...]
Randall E. Duggan (CRD #5559097), a broker and investment adviser based in Bellingham, Washington, is under investigation by the Washington State Securities Division and faces[...]
Former broker Brian Richard Marston (CRD #733083), previously registered with Woodbury Financial Services, Inc. in Parker, Colorado, is now facing multiple pending customer disputes alleging[...]
Regulatory actions and customer complaints continue to mount against Spartan Capital Securities, where chief administrative officer Kim Marie Monchik (CRD #2528972) is accused of failing[...]
Michael F. Ginestro (CRD #2468911), a long-time Merrill Lynch broker based in Los Angeles, is under scrutiny after an investor filed a $2.4 million Financial[...]
J.P. Morgan broker Richard M. Ciraco (CRD #825969) is once again under scrutiny, with a new $450,000 customer dispute adding to a career marked by[...]
Ford Gray Keeler (CRD# 1696709), a financial advisor currently with LPL Financial in Grand Junction, Colorado, is facing fresh scrutiny. He has a pending $210,000[...]