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In margin investing, investors borrow money from a brokerage to fund investments, using their existing securities as collateral. It is a strategy some brokers may recommend because when it works, it can earn you high returns you might not be able to achieve otherwise. But when the market takes a downturn, a broker might issue […]

Muhammad R. Wahdy (CRD#: 6266210) is a registered investment advisor with Wahdy Capital in San Francisco, CA. Broker’s History He entered the securities industry in 2014 and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated; Wahdy Altahan; TD Ameritrade; Amerivest Investment Management; Wahdy Capital; Ameriprise Financial Services; Wells Fargo Clearing Services, LLC; and […]

Curtis Wayne Smith (CRD#:1383235) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1985 and previously worked with Pruco Securities, LLC; SCF Securities, Inc.; Kovack Securities Inc.; and United Planners’ Financial Services of America A Limited Partner. Allegations of Misconduct According to publicly available records released by the […]

Robert Franklin Muller, Jr., (CRD#: 1778892) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1987 and previously worked with Advantage Capital Corporation; American Capital Marketing, Inc.; Van Kampen Funds Inc.; Investment Centers of America, Inc.; Hines Real Estate Investments, Inc.; Provasi Capital Partners LP; Destra Capital Investments […]

John Sandor Lemak (CRD#: 845891) is a registered broker and investment advisor with Axiom Capital Management, Inc. in New York, NY. Broker’s History He entered the securities industry in 1977 and previously worked with Kidder, Peabody & Co., Incorporated; Morgan Keegan & Company, Inc.; WFG Investments, Inc.; and WFG Advisors, LP. Current and Past Allegations […]

Philip Allen Simonides (CRD#: 1847411) is a registered broker and investment advisor with Madison Avenue Securities, LLC in Vienna, VA. Broker’s History He entered the securities industry in 1988 and previously worked with IDS Life Insurance Company; Ameriprise Advisor Services, Inc.; Voya Financial Advisors, Inc.; and Purshe Kaplan Sterling Investments. Allegations of Misconduct According to […]

Cody Keller (CRD#: 6669454) is a registered investment advisor with Seaside Wealth Advisors, LLC in Mechanicsburg, PA. Broker’s History He entered the securities industry in 2017 and previously worked with Northwestern Mutual Investment Services, LLC, and MML Investors Services, LLC. Allegations of Misconduct According to publicly available records released by the U.S Securities and Exchange […]

Joseph Michael Cannon (CRD#: 6341199) was a previously registered broker. Broker’s History He entered the securities industry in 2016 and previously worked for Northwestern Mutual Investments Services, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2025, without admitting or denying the findings, Cannon consented […]

Brent Alan Nelson (CRD#: 3026585) is a registered broker and investment advisor with Stonex Securities Inc. in Youngstown, OH. Broker’s History He entered the securities industry in 1998 and previously worked with Fairchild Financial Group, Inc. (FINRA expelled the firm in 2001); AC Financial, Inc.; IAR Securities Corp. (FINRA expelled the firm in 2012); WRP […]

John Scott Winslow (CRD#: 3071933) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1998 and previously worked with Morgan Stanley DW Inc.; Key Investment Services LLC; UnionBanc Investment Services, LLC; and Edward Jones. Allegations of Misconduct According to publicly available records released by the U.S Securities and […]