FINRA expelled securities broker Gary Alan Kieper [CRD: 4147968, Antigo, Wisconsin], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gary Kieper worked for Thrivent Investment Management from March 30, 2000, to December 31, 2022. Read below for additional information about Gary Kieper’s disclosures. FINRA Sanctioned Kieper For Failing To Provide Testimony Particularly, on May […]

FINRA expelled securities broker Christina Dawn Peterman (also known as Christina Dawn Heighton, Christina Dawn Knippers, and Christina Dawn Lay) [CRD: 4064817, Greensboro, North Carolina], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christina Peterman worked for Truist Investment Services Inc. from August 1, 2021, to May 16, 2023. Here’s more about Christina Peterman’s […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Dustin Paul Shafer [CRD: 4198962, Springfield, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dustin Shafer worked for Newbridge Securities Corporation from September 4, 2019, to November 4, 2020, and for Money Concepts Capital […]

FINRA sanctioned securities broker Brett Arthur Hartvigson [CRD: 2263087, San Diego, California], and investors might have sustained losses because of him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hartvigson worked for Independent Financial Group LLC from April 6, 2009, to October 27, 2023. Here’s more about Hartvigson’s disclosures. Financial Industry Regulatory […]

Investors might have sustained losses due to William Henry Weisbrod [CRD: 812664, Fairfield, New Jersey], and FINRA and a New Jersey regulator barred the securities broker. Evidently, William Weisbrod worked for Purshe Kaplan Sterling Investments from April 27, 2009, to February 18, 2021. Keep reading to learn more about the disclosures surrounding Weisbrod’s professional conduct. […]

Investors might have sustained losses due to securities broker Philip Anthony Riposo [CRD: 400056, Cave Creek, Arizona], and FINRA has sanctioned him, according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Riposo was previously registered with United Planners' Financial Services of America A Limited Partner from December 7, 2015, to March 8, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Paul Francis Trimber [CRD: 2765260, Alexandria, Virginia], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Trimber worked for Wells Fargo Clearing Services LLC from July 1, 2003, to February 29, 2024. Keep reading to […]

Investors might have sustained losses due to Michael Craig Brickman [CRD: 4042866, Paramus, New Jersey], and FINRA barred the securities broker, according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brickman worked for Pruco Securities LLC from May 25, 2018, to August 9, 2023. Continue reading to learn more about the nature […]

FINRA sanctioned securities broker Matthew James Chimento [CRD: 5749914, Alpharetta, Georgia], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matthew Chimento worked for Morgan Stanley from March 13, 2023, to December 11, 2023, and for E*TRADE Securities LLC from March 1, 2018, to September 5, 2023, both in Alpharetta, Georgia. Continue […]