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 several customer disputes tied to his investment recommendations. Duggan is currently registered with Moloney Securities Co., Inc. and Moloney Securities Asset Management LLC, where he has been affiliated since 2016. [...]

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 unsuitable investment recommendations and misrepresentations. Marston, who left Woodbury Financial in December 2023 and is no longer registered with any FINRA member firm, has six customer disputes on record, three [...]

Sean Sullivan issued the following statement about claims and charges issued against him by FINRA: Background and Factual Inaccuracies The Article purports to summarize a FINRA complaint (Case #2022075569401, filed September 23, 2025) alleging unauthorized trading in June 2022 and failure to disclose a felony charge on my Form U4. However, it sensationalizes unproven allegations, [...]

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 to meet disclosure requirements and supervisory obligations.  Over a career spanning more than 25 years, Monchik has accumulated seven disclosures on her record, including two regulatory proceedings (one pending and [...]