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BrokerCheck Reports
May 20, 2026
Brett Scott Ellen, Former DFPG Investments Broker, Has $967,999 in Customer Dispute Settlements Disclosed on BrokerCheck
May 20, 2026
Edward Eric Fernandez of Capulent LLC Faces 16 Pending Customer Disputes Over Versity Investments-Sponsored Delaware Statutory Trusts
May 12, 2026
Sam Bhushan and Cabin Securities Face Ten Customer Disputes Over Reg D Private Placement Recommendations
April 10, 2026
Ralph A. Jackson III, former Morgan Stanley broker, has $7.38 million in customer dispute settlements disclosed on BrokerCheck
November 8, 2025
FINRA suspends Joseph Kelly of Spartan Capital Securities for excessive trading that generated $365,344 in commissions and caused $262,683 in customer losses
August 8, 2025
BrokerCheck records show $2.7 million arbitration award against Merrill Lynch in case involving broker Chelsea Deng and private placement claims
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