Tyson William Allred (CRD#:3081010) is a registered broker and investment advisor with LPL Financial LLC in Portland, OR. Broker’s History He entered the securities industry in 1998 and previously worked with Phillips & Company Securities, Inc.; Bidwell & Company; U.S Bankcorp Piper Jaffray Inc.; and U.S Bankcorp Investments, Inc. Current and Past Allegations of Conduct […]

Michael Craig Brickman (CRD#:4042866) was a previously registered broker. Broker’s History He entered the securities industry in 2000 and previously worked with Nathan & Lewis Securities, Inc.; Walnut Street Securities, Inc.; Prime Capital Services, Inc.; Lincoln Investment Planning, Inc.; Jackson National Life Distributors LLC; Hartford Equity Sales Company Inc.; and Pruco Securities, LLC. Allegations of […]

Western Internation Securities, Inc., (CRD#: 39262) is registered brokerage firm and investment advisor firm in Pasadena, CA. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), In November 2022, Western entered into an AWC with FINRA through which the firm consented to findings that (i) from 2013 to […]

Garrett Wayne Moretz (CRD#:4086791) is a registered broker and investment advisor with Lifemark Securities Corp., in Mooresville, NC. Broker’s History He entered the securities industry in 2000 and previously worked with IDS Life Insurance Company; American Express Financial Advisors, Inc.; Synergy Investment Group, LLC; Allegient Securities LLC; Allegient Asset Management LLC; First Heartland Capital, Inc.; […]

Chris S. Stocks (CRD#:2600346) is a registered broker and investment advisor with Prospera Financial Services, Inc., in Paradise Valley, AZ. Broker’s History He entered the securities industry in 1995 and previously worked with Morgan Stanley DW Inc.; Morgan Stanley & Co. Incorporated; Morgan Stanley Smith Barney LLC; and Morgan Stanley. Current and Past Allegations of […]

Billy James Aycock (CRD: 4069907) is a registered broker and investment advisor with Cabin Securities, Inc., in Overland Park, KS. Broker’s History He entered the securities industry in 2000 and previously worked with Quick & Reilly, Inc.; AXA Advisors, LLC; Park Avenue Securities LLC; Jackson National Life Distributors LLC; Brookstone Capital Management LLC; Arete Wealth […]

Laura H. Casey (CRD#: 2684465) is a registered investment advisor with Coastal Wealth Management in New York, NY and is a previously registered broker. Broker’s History She entered the securities industry in 1996, and previously worked with Goldman, Sachs & Co.; The Williams Capital Group, L.P.; Bear, Stearns & Co. Inc.; Wedbush Morgan Securities Inc.; […]

(CRD#: 41282/SEC#: 8-49352) The brokerage firm is located in Florham Park, NJ and it’s President/CEO is Jeffrey Ross Halpert. Allegations of Misconduct irm failed to establish a supervisory system reasonably designed to achieve compliance with fair pricing rules. The firm failed to establish, maintain and enforce a supervisory system reasonably designed to achieve compliance with […]

Jordan Stentiford (CRD#:6946439) was a previously registered broker. Broker’s Background He entered the securities industry in 2020 and previously worked with Northwestern Mutual Investment Services, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2024, without admitting or denying the findings, Stentiford consented to the […]

Scott Willard Taubman (CRD#: 4809824) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2004 and previously worked with Morgan Stanley DW Inc.; First Financial Equity Corporation; AllState Financial Services, LLC; and Ameriprise Financial Services, LLC. Current and Past Allegations of Conduct Leading to Investment Loss According to […]