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[...]
Broker / Advisor Investigations
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[...]
Jihoon Park (CRD #6535514), a former broker with MML Investors Services in Fairfax, Virginia, is facing serious regulatory and customer disputes. In July 2025, FINRA[...]
Edward Jones broker Zwi Anthony Pechthalt (CRD #2422846) is facing another customer complaint, adding to a long history of disputes on his record. Pechthalt has[...]