Blog

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 […]

Justin Ray Deiter (CRD#: 5225102) was a previously registered broker. Broker’s History He entered the securities industry in 2007 and previously worked with Prestige Financial Center, Inc. (FINRA expelled the firm in 2011); Global Arena Capital Corp. (FINRA expelled the firm in 2016); Aegis Capital Corp.; Allied Millenial Partners, LLC; and Spartan Capital Securities, LLC. […]

Neil Seth Okun (CRD#: 2482935) is a registered broker with Trident Partners LTD in Naples, FL. Broker’s History He entered the securities industry in 1994 and previously worked with Lehman Brothers Inc.; Gruntal & Co., LLC; Morgan Stanley DW Inc.; Citigroup Global Markets Inc.; Morgan Stanley Smith Barney; Oppenheimer & Co, Inc.; Wells Fargo Advisors […]

Vincent Carmada (CRD#: 2463703) is the owner of A.G Morgan Financial Advisors, LLC (AGM) and is a registered investment advisor there. James McArthur (CRD#: 2797856) is a registered investment advisor with AGM. Allegations of Misconduct According to publicly available records released by the U.S Securities and Exchange Commission (SEC), in June 2022, the SEC announced […]

Roger Albert Taft Gallagher (CRD#: 5513745) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2012 and previously worked with Morgan Stanley. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2025, without admitting or denying the findings, Gallagher […]

Colleen Maron (CRD#: 2211633) was a previously registered broker and investment advisor. Broker’s History She entered the securities industry in 1992 and previously worked with W.S Griffith & Co., Inc.; WS Griffith Securities, Inc.; Phoenix Equity Planning Corporation; MML Investors Services, LLC; PKS Advisory Services, LLC; and Purshe Kaplan Sterling Investments. Allegations of Misconduct According […]

Michael Clifford Graham (CRD#: 3263494) is a registered broker and investment advisor with LPL Financial LLC in El Paso, TX. Broker’s History He entered the securities industry in 1999 and previously worked with Securian Financial Services, Inc.; and Principal Securities, Inc. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available […]

Thoroughbred Financial Services, LLC (CRD#: 47893/SEC#: 801-56741, 8-51944) has been registered with the SEC and FINRA since 2000. Thomas Jenkins Parker (CRD#: 356789) has been a registered broker and investment advisor with Thoroughbred Financial Services, LLC since 2000. Lawrence Randall Hartley (CRD# 1235172) has been a registered broker and investment advisor with Thoroughbred Financial Services, […]

Centaurus Financial, Inc. is a California corporation headquartered in Anaheim, California. Centaurus has been registered with the Commission as a broker-dealer since January 1993 and as an investment adviser since October 1999 Debbie M. Cavanaugh (CRD#:1268420) has been a registered representative, investment adviser representative, and branch manager at Centaurus since February 2020. Michael Y. Hamilton […]

Santiago J Torres, Jr. (CRD#: 5644622) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2009 and previously worked with Chase Investment Services Corp; PNC Investments; BB&T Investment Services, Inc.; BB&T Securities, LLC; and Truist Investment Services, Inc. Allegations of Misconduct According to publicly available records released by […]