| Broker / Advisor | Date Updated |
| https://www.secatty.com/investigations/carlos-abad-of-tfs-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/bryan-fiala-of-principal-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/charles-lawson-of-ubs-financial-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/bruce-horng-of-pruco-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/bryan-rigg-cantella-and-co/ | 2022-06-27 |
| https://www.secatty.com/investigations/casey-moag-bankers-life-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/carter-mansbach-national-securities-corporation/ | 2022-06-27 |
| https://www.secatty.com/investigations/carrie-lawlor-merrill-lynch-pierce-fenner-smith/ | 2022-06-27 |
| https://www.secatty.com/investigations/chad-spezia-merrill-lynch-pierce-fenner-smith/ | 2022-06-27 |
| https://www.secatty.com/investigations/alisha-bush-mml-investors-service/ | 2022-06-27 |
| https://www.secatty.com/investigations/bradd-cuppels-ubs-financial-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/alexandra-cock-mtl-equity-products/ | 2022-06-27 |
| https://www.secatty.com/investigations/andrew-pravlik-coastal-equities/ | 2022-06-27 |
| https://www.secatty.com/investigations/alan-fryman-peak-brokerage-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/aaron-bockman-mml-investors-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/craig-foreman-of-edward-jones/ | 2022-06-27 |
| https://www.secatty.com/investigations/bruce-larsen-forta-financial-group/ | 2022-06-27 |
| https://www.secatty.com/investigations/rachel-gottlieb-ubs-financial-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/callen-bryan-cetera-advisor-networks/ | 2022-06-27 |
| https://www.secatty.com/investigations/blair-cannon-ubs-financial-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/adam-fritzsche-ifs-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/carolina-medina-morgan-stanley/ | 2022-06-27 |
| https://www.secatty.com/investigations/alison-stine-gwn-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/alberto-boulton-merrill-lynch-pierce-fenner-smith/ | 2022-06-27 |
| https://www.secatty.com/investigations/benjamin-lowder-msi-financial-services-inc/ | 2022-06-27 |
| https://www.secatty.com/investigations/alfred-amato-lpl-financial/ | 2022-06-27 |
| https://www.secatty.com/investigations/adam-tafoya-first-heartland-capital/ | 2022-06-27 |
| https://www.secatty.com/investigations/boris-mihailevsky-jp-morgan-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/christopher-barletta-national-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/antoine-souma-insigneo-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/alexander-ladage-ubs-financial-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/charles-jones-parkland-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/brenden-gilliam-vanguard-marketing-corp/ | 2022-06-27 |
| https://www.secatty.com/investigations/andrew-ortiz-ubs-financial-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/andrew-costa-madison-avenue-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/zachary-morris-j-p-morgan-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/angela-mccarthy-ameriprise-financial-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/akhil-kumar-cadaret-grant/ | 2022-06-27 |
| https://www.secatty.com/investigations/betti-gardner-edward-jones/ | 2022-06-27 |
| https://www.secatty.com/investigations/amanda-berry-mml-investors-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/alfred-czerniewski-fsc-securities-corporation/ | 2022-06-27 |
| https://www.secatty.com/investigations/amanda-ton-usca-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/allan-weiss-raymond-james/ | 2022-06-27 |
| https://www.secatty.com/investigations/bradley-hayes-edward-jones/ | 2022-06-27 |
| https://www.secatty.com/investigations/carla-cabrera-charles-schwab/ | 2022-06-27 |
| https://www.secatty.com/investigations/alan-silverman-mml-investors-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/brandon-dubose-edward-jones/ | 2022-06-27 |
| https://www.secatty.com/investigations/angelo-vecchio-equitable-advisors/ | 2022-06-27 |
| https://www.secatty.com/investigations/benjamin-fuchs-silver-oak-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/aaron-jasper-mutual-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/aaron-griswold-merrill-lynch-pierce-fenner-smith/ | 2022-06-27 |
| https://www.secatty.com/investigations/adam-melville-hilltop-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/carol-munoz-wedbush-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/andrew-elsoffer-stifel-nicolaus-company/ | 2022-06-27 |
| https://www.secatty.com/investigations/aldo-ochoa-equitable-advisors/ | 2022-06-27 |
| https://www.secatty.com/investigations/charles-dowds-mml-investors-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/daniel-bukovcik-concorde-investment-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/candido-viyella-morgan-stanley/ | 2022-06-27 |
| https://www.secatty.com/investigations/andrew-scheirer-purshe-kaplan-sterling-investments/ | 2022-06-27 |
| https://www.secatty.com/investigations/brett-jenson-lincoln-financial-advisors/ | 2022-06-27 |
| https://www.secatty.com/investigations/brendan-behan-aegis-capital/ | 2022-06-27 |
| https://www.secatty.com/investigations/brady-clar-charles-schwab/ | 2022-06-27 |
| https://www.secatty.com/investigations/adam-smith-securities-america/ | 2022-06-27 |
| https://www.secatty.com/investigations/allan-klenke-morgan-stanley/ | 2022-06-27 |
| https://www.secatty.com/investigations/camie-quigley-wells-fargo-clearing-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/alonte-white-davis-bankers-life-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/adam-goodman-stoever-glass-and-company/ | 2022-06-27 |
| https://www.secatty.com/investigations/andrew-kirwin-mml-investors-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/luis-garcia-of-ubs-financial-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/cataldo-panici-wintrust-investments/ | 2022-06-27 |
| https://www.secatty.com/investigations/andy-schwartz-lpl-financial/ | 2022-06-27 |
| https://www.secatty.com/investigations/bruce-roberts-wells-fargo/ | 2022-06-27 |
| https://www.secatty.com/investigations/bo-li-cetera-advisors/ | 2022-06-27 |
| https://www.secatty.com/investigations/alexander-bender-commonwealth-financial-network/ | 2022-06-27 |
| https://www.secatty.com/investigations/aaron-vilfordi-ameriprise-financial-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/carolyn-valentine-cambridge-investment-research/ | 2022-06-27 |
| https://www.secatty.com/investigations/bruce-horek-state-farm-vp-management/ | 2022-06-27 |
| https://www.secatty.com/investigations/charles-lanzillotto-wells-fargo-clearing-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/aileen-grant-cambridge-investment-research-2/ | 2022-06-27 |
| https://www.secatty.com/investigations/adam-trent-charles-schwab/ | 2022-06-27 |
| https://www.secatty.com/investigations/alejandro-gonzalez-ubs-financial-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/rachel-gottlieb-ubs-financial-services-2/ | 2022-06-27 |
| https://www.secatty.com/investigations/burton-apfelbaum-lpl-financial/ | 2022-06-27 |
| https://www.secatty.com/investigations/andrew-cutler-morgan-stanley/ | 2022-06-27 |
| https://www.secatty.com/investigations/aleksander-guriyelov-jp-morgan-securities/ | 2022-06-27 |
| https://www.secatty.com/investigations/alfred-schor-northwestern-mutual-investment-services/ | 2022-06-27 |
| https://www.secatty.com/investigations/adam-fountain-herald-investment-marketing/ | 2022-06-27 |
