Investors potentially experienced sales practice violations because of securities broker Jason Keith Norton [CRD: 4776196, Carrollton, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Norton has worked with LPL Financial LLC since July 20, 2011, and also with Independent Advisor Alliance LLC since September 24, 2018. Below, individuals can understand more about […]

One or more investors might have sustained losses due to securities broker Kevin Patrick O’Sullivan [CRD: 4499275, Quincy, Massachusetts], based on publicly available information reported on FINRA BrokerCheck. Kevin O’Sullivan has worked with Commonwealth Financial Network in Quincy, Massachusetts since September 23, 2016, as a broker, and since September 26, 2016, as an investment adviser. […]

Investors may have incurred losses because of securities broker William Thomas Avery [CRD: 2269289, Birmingham, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avery has worked with UBS Financial Services Inc. since August 16, 1996, operating out of both Birmingham and Detroit, Michigan offices. Keep reading to learn more about Avery’s disclosures […]

Investors apparently complained about securities broker William Scott Meador [CRD: 2202512, Naples, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Meador has worked with UBS Financial Services Inc. since September 22, 2008, as a broker, and since October 3, 2013, as an investment adviser. See the following information to understand more about […]

Investors potentially experienced sales practice violations due to securities broker Frank Samuel Walter [CRD: 5685573, New York, New York], according to publicly available information reported on FINRA BrokerCheck. Walter has worked with UBS Financial Services Inc. since May 15, 2015, in New York and since June 23, 2015, in Brooklyn. Below, you can find out […]

One or more investors might have sustained losses because of securities broker Larry Leon Hyatt Jr. [CRD: 1506954, Salem, Oregon], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Larry Hyatt worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated from September 9, 2016, to April 10, 2025. Read on to learn more about […]

Investors may have incurred losses due to securities broker Philip Kirby Jefferson [CRD: 2497587, King, North Carolina], according to publicly available information reported on FINRA BrokerCheck. Jefferson has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since June 26, 2009, with multiple branch locations including King, Yadkinville, Wilkesboro, Lexington, and Winston Salem, […]

Investors might have sustained losses because of securities broker Virginia Kimiye Panjvani (also known as Virginia Kimiye Kuwahara) [CRD: 833818, San Diego, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Panjvani worked for Stifel, Nicolaus & Company, Incorporated from September 5, 2018, to the present. See the following information to find out […]

Investors supposedly complained about securities broker Jeremy Matthew Benson [CRD: 6249020, San Antonio, Texas], based on publicly available information reported on FINRA BrokerCheck. Jeremy Benson worked for NYLIFE Securities LLC from April 23, 2014, to February 29, 2024. Read on to learn more about the disclosures involving Benson, including investor allegations and the circumstances surrounding […]