Investors potentially experienced sales practice violations by securities broker Theodore William Byrer (also known as Ted Byrer) [CRD: 2980696, Westfield, Indiana], and FINRA sanctioned him, according to information disclosed through FINRA BrokerCheck. Byrer worked for Morgan Stanley from November 11, 2013, to April 20, 2023, and International Assets Advisory LLC, from May 9, 2023, to […]

Securities and Exchange Commission (SEC) took action against securities broker Clarice Crystal Saw (also known as Clarice Chin Saw) [CRD: 2633118, Wilmington, Delaware], based on public information through FINRA. BrokerCheck identifies Wilmington, Delaware, as the location of Coastal Equities Inc., where Saw worked from November 21, 2022, to August 1, 2023; she also worked for […]

Investors apparently complained about securities broker Christopher Wayne Dunlevy [CRD: 4909656, Flagstaff, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dunlevy has worked for Aspen Trail Wealth Management LLC since July 22, 2015. Keep reading to learn more about Dunlevy’s client dispute disclosures. Aspen Trail Client Accused Dunlevy Of Mismanagement Particularly, a […]

Investors potentially experienced sales practice violations by securities broker Jeremy Todd Lindquist [CRD: 3198807, Melbourne, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lindquist has been registered as a securities broker with MML Investors Services LLC since August 12, 2011, and as a financial advisor with the firm since February […]

Anthony J. Falco Jr. [CRD: 5125793, Wayne, Pennsylvania] is a securities broker whose BrokerCheck record contains disclosures that may concern investors who experienced losses. Falco has been registered with J. Alden Associates Inc. since March 10, 2021, and with Alden Investment Group since May 3, 2024. He was previously registered with MPB Wealth Management LLC […]

Investors potentially incurred losses because of securities broker Sandeep Madhavan [CRD: 4673687, El Segundo, California], according to information disclosed through FINRA BrokerCheck. Madhavan has worked for Ameriprise Financial Services as a securities broker since August 15, 2003, and as a financial advisor since May 10, 2007. Continue reading to find out more about the disclosed […]

Investors may have suffered financial harm by securities broker Carlos C. Garcia [CRD: 2635960, Westport, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia has worked for Kovack Securities Inc. and Kovack Advisors Inc. since October 19, 2012. See below to learn more about Garcia’s disclosures. Kovack Investor Accused Garcia Of […]

Investors might have sustained losses due to securities broker David Victor Janny [CRD: 1272727, Easton, Connecticut], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Janny has worked for Ameriprise Financial Services LLC since July 15, 2022, and previously worked for Morgan Stanley from November 21, 2012, to August 3, 2022. Investors […]

JAMES LEROY RAPER JR (JAMES L RAPER JR, JIM RAPER) is currently registered as a broker with WEALTHFORGE DISTRIBUTORS, LLC since 3/12/2025 and with WEALTHFORGE SECURITIES, LLC since 5/16/2014, both of Richmond, Virginia. According to FINRA’s BrokerCheck, available on FINRA’s website, JAMES L RAPER JR, has 16 years of experience in the securities industry and […]