Investors might have sustained losses due to securities broker Richard James Wick [CRD: 6248114, Kalispell, Montana], according to disclosures on FINRA BrokerCheck. Evidently, Richard Wick worked for Northwestern Mutual Investment Services LLC from December 23, 2013, to April 18, 2025. Below, investors can review details about the disclosures involving this securities broker. Northwestern Mutual Investor […]

One or more investors apparently complained about securities broker Meredith Archer Webber (also known as Meredith Luce) [CRD: 2435263, Cobleskill, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Meredith Webber worked for Raymond James Financial Services Inc. from September 16, 2022, to July 17, 2024. Below, you can find important […]

Investors possibly experienced losses due to securities broker Stephen Parker Nitz (also known as Steve Nitz) [CRD: 1298437, Ridgefield, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stephen Nitz worked for Osaic Institutions Inc. from May 10, 2007 to May 8, 2024, and works for Steward Partners Investment Solutions […]

Investors might have sustained losses due to securities broker Jean-Pierre Daniel Gobic (also known as Jeanpierre Gobic) [CRD: 4380699, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Jean-Pierre Gobic has worked for Morgan Stanley in Sarasota, Florida, since March 5, 2010, as a broker, and since March 15, 2010, as an investment adviser. Check […]

Investors potentially experienced sales practice violations because of securities broker Kurt Edward Stahl [CRD: 1890827, Sarasota, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kurt Stahl worked for Berthel Fisher Company Financial Services Inc. from November 25, 2014, to March 23, 2017, and has been registered as an investment adviser with […]

One or more investors apparently complained about securities broker Doran Calvin James [CRD: 1764628, Rock Springs, Wyoming], according to publicly available disclosures on FINRA BrokerCheck. It appears that James worked for LPL Financial LLC from November 11, 2011, to May 8, 2023, and has worked for J.W. Cole Financial Inc. and J.W. Cole Advisors Inc. […]

Investors potentially experienced losses due to securities broker Arthur Michael DeFilippo [CRD: 1348804, Boston, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Arthur DeFilippo has worked for Revere Securities LLC since July 8, 2010. Below, you can find important information about the disclosures involving this securities broker, which may be relevant […]

Investors might have sustained losses due to securities broker Karry Jean Maciak (also known as Karoline Maciak) [CRD: 4332863, Walnut Creek, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Maciak has worked for LPL Financial LLC since October 2, 2013, operating out of several California offices including Walnut Creek, Concord, Albany, […]

Investors possibly experienced sales practice violations because of securities broker Joseph Robert Weinbauer [CRD: 2714070, St. Louis, Missouri], according to publicly available information on FINRA BrokerCheck. Evidently, Joseph Weinbauer has worked for Berthel Fisher Company Financial Services Inc. since February 1, 2010, and with BFC Planning Inc. since May 24, 2016. Keep reading to learn […]