Investors reportedly complained about securities broker Eyal Farag (also known as Al Farag and as Alan Farag) [CRD: 3072211, Melville, New York], based on disclosures on FINRA BrokerCheck. Eyal Farag worked for Aegis Capital Corp. from September 8, 2014 to January 20, 2023. See the following information to know more about the securities broker’s disclosures. […]

One or more investors possibly experienced losses due to securities broker Christopher Tito Jumalon II [CRD: 6584031, Sandy Springs, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Jumalon worked for Navy Federal Investment Services LLC from October 7, 2019 to August 8, 2024, and for Wells Fargo Clearing […]

Investors potentially experienced sales practice violations because of securities broker Alfred Gerald Block (also known as Archie Block) [CRD: 1192064, Little Silver, New Jersey], according to disclosures on FINRA BrokerCheck. Block joined Buckman Buckman Reid Inc. on February 10, 2017. Read below to learn more about the disclosures involving this broker and the investments that […]

Investors may have incurred losses because of securities broker Michael Alan Robertson [CRD: 1634076, Greensboro, North Carolina], based on public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Robertson worked for Morgan Stanley from June 1, 2009 to January 9, 2025. See the following information to find out more about the securities broker’s […]

Investors might have sustained losses because of securities broker Wendell Holmes Trapp III (also known as Trey Trapp) [CRD: 6177720, Belden, Mississippi], according to disclosures on FINRA BrokerCheck. Wendell Trapp worked for Edward Jones from March 7, 2017 to March 5, 2024, and for San Blas Securities LLC from May 10, 2024 to June 10, […]

Investors reportedly complained about securities broker John Robert Openshaw [CRD: 2306112, Green Bay, Wisconsin], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Openshaw worked for KCD Financial Inc. from April 11, 2018 to November 16, 2020. Read below to know more about Openshaw’s disclosures and how they may impact affected […]

Investors potentially experienced sales practice violations due to securities broker Robert Israel Kully [CRD: 3212528, Omaha, Nebraska], based on disclosures on FINRA BrokerCheck. Kully worked for Western International Securities Inc. from April 16, 2018 to October 5, 2023, and Axiom Capital Management Inc. from June 1, 2015 to April 13, 2018. See the following information […]

Investors may have incurred losses because of securities broker Joel Floyd Woods [CRD: 1470780, Fort Worth, Texas], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joel Woods worked for LPL Financial LLC from March 26, 2021 to December 16, 2024; Concorde Investment Services LLC from November 23, 2016 to March 26, […]

Investors might have sustained losses because of securities broker Michael Paul Vauble [CRD: 1109895, Sac City, Iowa], according to disclosures on FINRA BrokerCheck. Michael Vauble worked for NYLIFE Securities LLC from June 8, 1983 to October 6, 2022. Read below to know more about the disclosures involving this broker. Vauble Accused Of Unsuitable Life Insurance […]