Investors potentially experienced losses due to securities broker Kevin Michael Barth [CRD: 6624302, Greensboro, North Carolina], according to publicly available information on FINRA BrokerCheck. Evidently, Kevin Barth has been registered with Edward Jones in Greensboro, North Carolina, since May 3, 2016, in the capacity of a broker, and since October 21, 2016, as an investment […]

One or more investors apparently complained about securities broker Kelly Eugene Dale [CRD: 2711340, Atlanta, Georgia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dale has been registered with American Capital Partners LLC (CRD#: 119249), located at 6000 Lake Forrest Drive N.W., Suite 325, Atlanta, Georgia, since February 1, 2013. Evidently, Kelly Dale […]

Investors potentially experienced losses because of securities broker John Russo [CRD: 3245040, New York, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Russo worked for Aegis Capital Corp. from June 6, 2018, to April 3, 2024, and is currently registered with Dominari Securities LLC in New York, […]

Investors potentially experienced sales practice violations due to securities broker Katy Yun Zhao (also known as Katy Zhao) [CRD: 5264406, Pasadena, California], according to disclosures on FINRA BrokerCheck. Evidently, Katy Zhao worked for Morgan Stanley from November 3, 2009, as a broker and from December 23, 2016, as an investment adviser. Keep reading to find […]

Investors potentially experienced sales practice violations due to securities broker Amanda Nicole Wiggins (also known as Amanda Nicole Sosa) [CRD: 5526300, Fort Worth, Texas], based on disclosures through FINRA’s BrokerCheck. Wiggins has been registered with Wells Fargo Clearing Services LLC since December 2, 2014, and with Wells Fargo Advisors since January 6, 2020. Below, you […]

One or more investors apparently complained about securities broker Wade MacDonald Wilson (also known as Wade Wilson) [CRD: 3001900, Upper Saint Clair, Pennsylvania], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wade Wilson has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since March 19, 1998, in the capacity […]

Introduction For private companies seeking access to capital markets without the time, cost, and regulatory burden of a traditional IPO, a reverse merger onto the OTC Markets presents an alternative path to going public. While not without legal complexity or reputational risks, a reverse merger—when properly structured and executed—can accelerate a company’s public listing and […]

Investors potentially experienced sales practice violations because of securities broker Scott Christopher Grove [CRD: 2813738, Newport Beach, California], based on disclosures on FINRA BrokerCheck. Evidently, Grove has been affiliated with MML Investors Services LLC since January 4, 2002, in his capacity as a broker, and since March 16, 2021, in his capacity as an investment […]

Investors potentially experienced sales practice violations due to securities broker Brett Aubrey Vetensky (also known as Brett Aubry Vetensky) [CRD: 4143000, Garden City, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brett Vetensky worked for Wells Fargo Clearing Services LLC from December 4, 2009, to June 11, 2019. […]