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 […]

Investors might have sustained losses due to securities broker Johnathan Paul Hagood [CRD: 6778355, Los Angeles, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hagood worked for Wells Fargo Clearing Services LLC from September 14, 2017, to January 18, 2023. Continue reading to learn more about Hagood's disclosures and the […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker John Luis Torres (also known as Juan Luis Torres) [CRD: 6322231, Woodland Hills, California], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Torres worked for J.P. Morgan Securities LLC from May 10, 2014, to August […]

Investors might have sustained losses due to securities broker John Douglas Engler Sr. [CRD: 835827, Martinez, Georgia], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Engler worked for Ameriprise Financial Services LLC from October 24, 2014, to June 7, 2023. Continue reading to learn more about the disclosures involving Engler. […]