Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]

Investors may have suffered financial harm by securities broker Dianna Sheryl Jeffries (also known as Dianna Sheryl Friedman) [CRD: 7348577, Cary, North Carolina], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffries was registered with WS Brokerage Services Inc. from January 19, 2023, through April 8, 2026. Investors should continue reading […]

Investors potentially experienced sales practice violations by securities broker David L. Petray [CRD: 1974569, Costa Mesa, California], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Petray has worked for Syndicated Capital Inc. as a securities broker since July 6, 2001, and as a financial advisor since January 8, 2021. See below to […]

Investors potentially incurred losses because of securities broker Diego Soares Bacellar [CRD: 6808326, Miami, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Diego Bacellar worked for Northwestern Mutual Investment Services LLC from April 8, 2019, to May 1, 2026. Investors are encouraged to continue reading to discover more about the disclosures involving […]

Investors apparently complained about securities broker Mark Allen Herding [CRD: 2239357, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Herding worked for Cambridge Investment Research Inc. from October 19, 2012, to February 14, 2018, and Cambridge Investment Research Advisors Inc. from November 15, 2012, to February 14, 2018. Since January 31, […]

Investors apparently complained about securities broker Mark Andrew MacArthur [CRD: 2411397, Newhall, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. MacArthur worked for Ausdal Financial Partners Inc. from November 1, 2006, to November 1, 2023, was affiliated with Criterion Wealth Management from January 2008 to August 2017, and joined […]

Investors may have suffered financial harm by securities broker Tracy Lynn Helmer (also known as Tracy Lynn Poole) [CRD: 4803908, Evansville, Indiana], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Helmer has been registered with LPL Financial LLC as a securities broker since November 12, 2012, and as a financial advisor since […]

Investors potentially experienced sales practice violations by securities broker Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors […]

Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]