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Regulatory News

John Woods and Michael Mooney: Unveiling Allegations and Affiliations with Oppenheimer & Co. Inc., Southport Capital

Recent allegations have surfaced accusing John Woods and Michael Mooney of running a Ponzi Scheme from 2008-2021. The claims, made by a group of plaintiffs, …

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David Baum and PRUCO Securities Face Customer Dispute Allegations

In a recent turn of events, a customer dispute has arisen against David Baum, a representative of PRUCO SECURITIES, LLC and LIFEMARK SECURITIES CORP. (CRD …

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Christopher Cavallaro Under Investigation for Dispute at Lincoln Financial Advisors Corp.

On July 18, 2023, a pending customer dispute was filed against Christopher Cavallaro, a registered representative (RR) from Lincoln Financial Advisors Corporation. The claimant alleges …

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