Former UBS Financial Services Inc. broker, David Fagenson (CRD#: 1652012) was suspended last week by the Financial Industry Regulatory Authority, Inc. (FINRA) for numerous unsuitable[...]
Investment Loss Investigations
On November 16, Robert Lee Basile (CRD#: 2392772), a former Waddell & Reed broker, was barred by financial regulator FINRA after pleading guilty to charges[...]
Sam Aziz (CRD#: 1721932) is a registered broker and investment advisor. Since July of 2018, Mr. Aziz has been employed at David A. Noyes &[...]
Mark Tudor (CRD#: 2842516) is a former registered FINRA broker and investment advisor. From 2014 to 2018, Mr. Tudor was employed at Raymond James &[...]
Thomas Yancey Williams (CRD#: 1372002) is an actively registered securities broker. Since June of 2018, Mr. Williams has been employed at IFS Securities in Atlanta,[...]
John Farmer (CRD#: 5354041) is an actively registered representative of Royal Alliance Associates. Since 2011, Mr. Farmer has worked as a broker and investment advisor[...]
Jodi Padgett (CRD#: 1828918) is an actively registered broker and investment advisor. Since 1995, Ms. Padgett has been registered as a representative at Royal Alliance[...]
Lynn Faust (CRD#: 729012) is a registered broker and investment advisor. She is currently associated with Stifel, Nicolaus & Company, based at a branch office[...]
James Chang (CRD#: 4536266) is an actively registered broker and investment advisor. Since April of 2012, Mr. Chang has been a representative of Independent Financial[...]
Alfred Weaver (CRD#: 460549) is currently registered as a broker and investment advisor at Ameriprise Financial Services in Westborough, Massachusetts. Mr. Weaver has previously been[...]