Emily

PFS Investments employs financial advisor Warren Leland, an experienced broker whose history spans over three decades in the financial services industry. Recently, his public broker record hosted at FINRA’s BrokerCheck database gained notable attention due to a federal tax lien recorded against him. On March 7, 2025, the official record listed an outstanding federal tax […]

Charles Schwab & Company is one of the largest and most trusted names in the financial services industry, renowned for overseeing trillions of dollars in client assets and providing brokerage, banking, and financial advisory services. Within the extensive network of advisors under the Charles Schwab brand is broker Douglas Arrick. On March 7, 2025, a

Transitional Broker LLC and financial advisor Quentin Robb recently found themselves navigating a challenging compliance situation when Robb resigned on March 7, 2025. Robb, a seasoned broker recognized by many colleagues and investors alike, ended his relationship with Transitional Broker LLC under circumstances that garnered significant attention in the financial services community. The resignation was

LPL Financial advisor Robert Tracy (CRD #: 1513899), a long-time industry participant known for his tenure as a registered broker, faced suspension by the Financial Industry Regulatory Authority (file a FINRA complaint) effective May 4, 2025, after refusing to cooperate fully during a FINRA investigation. This suspension represents a pivotal moment, highlighting critical industry standards

Horace Mann Investors, a reputable broker-dealer dedicated primarily to serving educators and public sector employees, recently dismissed advisor Joshua Caldwell following allegations of unauthorized trades involving client accounts. According to a May 4, 2025 disclosure update on the Financial Industry Regulatory Authority (FINRA)’s BrokerCheck database, Joshua Caldwell (CRD #: 6984990), was terminated from Horace Mann