Investors might have sustained losses due to securities broker Stephen Robert Marotto (also known as Steve Marotto) [CRD: 5473140, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stephen Marotto worked for First Republic Securities Company LLC and First Republic Investment Management Inc. from January 17, 2013, to May 19, […]

Investors possibly experienced sales practice violations because of securities broker Hui Zhang (also known as Celia Zhang) [CRD: 5918387, San Gabriel, California], according to disclosures on FINRA BrokerCheck. Zhang worked for Cetera Investment Services LLC in Alhambra, California, from January 28, 2013, to March 6, 2020, and Cetera Investment Advisers LLC in San Marino, California, […]

One or more investors apparently complained about securities broker Rebecca Sue Gaylor (also known as Rebecca Morgan) [CRD: 1452113, Phoenix, Arizona], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gaylor has worked for J.W. Cole Financial Inc. since September 5, 2003, and with J.W. Cole Advisors Inc. since February 22, […]

Investors might have sustained losses due to securities broker Leroy Born [CRD: 4052650, Tustin, California], according to disclosures on FINRA BrokerCheck. Evidently, Leroy Born has worked for Wells Fargo Clearing Services LLC since June 23, 2017, and has also worked for Wells Fargo Advisors since June 26, 2017. Below, you can find important information about […]

Investors possibly experienced sales practice violations due to securities broker Paul M. Getty [CRD: 6470002, San Mateo, California], according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Paul Getty worked for Lightpath Capital Inc. from October 30, 2017, to September 7, 2024, and has worked for Emerson Equity LLC since August […]

One or more investors apparently complained about securities broker Ted Arthur Boutis [CRD: 2951760, Melville, New York], according to disclosures on FINRA BrokerCheck. Evidently, Ted Boutis has worked for Ameriprise Financial Services LLC since November 13, 1997, as a broker, and since October 5, 2006, as an investment adviser. These registrations are tied to his […]

Investors potentially experienced losses because of securities broker William Roy Bredt (also known as Bill Bredt) [CRD: 1621507, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that William Bredt has worked for Raymond James Associates Inc. since March 18, 1999, as a broker, and since January 25, 2010, […]

Investors potentially experienced sales practice violations due to securities broker Edward Charles Fredericks [CRD: 2202730, Milford, Connecticut], according to disclosures on FINRA BrokerCheck. It appears that Fredericks has worked for Equitable Advisors LLC since June 1, 2005, working out of both Milford and Stratford, Connecticut. Keep reading to learn more about the disclosures involving Fredericks […]

One or more investors apparently complained about securities broker Terry Eugene Harris [CRD: 2653757, Rolla, Missouri], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Terry Harris worked for Money Concepts Capital Corp from October 3, 2011, to December 31, 2019. Below, you can find important information about Terry Harris’s disclosures. Money Concepts […]