Investors may have incurred losses due to securities broker Marcial A. Vargas [CRD: 5953263, Redwood City, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marcial Vargas worked for Wells Fargo Clearing Services LLC from August 15, 2014, to June 30, 2022, and has worked with Ameriprise Financial Services LLC in Redwood City […]

Investors potentially experienced sales practice violations due to securities broker Wilson Kwok [CRD: 5083791, South San Francisco, California], based on publicly available information reported on FINRA BrokerCheck. Wilson Kwok has worked with Wells Fargo Clearing Services LLC since January 3, 2011, and with Wells Fargo Advisors since August 9, 2013. Read on to find out […]

Investors supposedly complained about securities broker John Anthony Germain [CRD: 2706666, Norwell, Massachusetts], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Germain has worked with RBC Capital Markets LLC since April 17, 2009, operating out of their office on Washington Street in Norwell, Massachusetts. See the following information to understand more about Germain’s […]

One or more investors might have sustained losses due to securities broker Michael Scott Buonanno [CRD: 2823332, East Northport, New York], according to publicly available information reported on FINRA BrokerCheck. Buonanno has worked with Cetera Wealth Services LLC since February 1, 2019, and previously worked for Cetera Advisor Networks LLC in El Segundo, California, from […]

Investors may have incurred losses due to securities broker Ramon Lynn Haile [CRD: 2010552, Hamilton, Texas], according to publicly available information reported on FINRA BrokerCheck. Haile has worked with Avantax Investment Services Inc. since December 18, 1989, and Avantax Advisory Services since November 16, 1990. Keep reading to understand more about the allegations reported about […]

Investors apparently complained about securities broker Harry Allan Horn [CRD: 1031140, Lutherville, Maryland], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Harry Horn worked for Lincoln Financial Advisors Corporation from June 4, 1982, to April 22, 2022. Below, you can learn more about the disclosures involving Harry Horn, including serious allegations […]

Investors potentially experienced sales practice violations because of securities broker Michael Castillo Campos [CRD: 5516057, Lexington, South Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Campos works with D.A. Davidson & Co. in Lexington, South Carolina, having joined the firm on October 24, 2022. Previously, Campos worked at Truist Advisory Services Inc. […]

One or more investors may have incurred losses due to securities broker James B. Dorney [CRD: 2997467, New Haven, Connecticut], according to publicly available information reported on FINRA BrokerCheck. James Dorney has worked with UBS Financial Services Inc. in New Haven and Milford, Connecticut, since March 27, 2009. See the following information to understand more […]

Investors might have sustained losses because of securities broker Christopher Todd Robinson (also known as Chris Robinson) [CRD: 2582006, Argyle, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Robinson has worked with LPL Financial LLC since February 14, 2018, and has also been associated with RFG Wealth Advisory since May 5, […]