Investors reportedly may have incurred losses because of securities broker Timothy Lee Connor [CRD: 2222028, Redwood City, California], according to disclosures on FINRA BrokerCheck. It appears that Timothy Connor has been registered with LPL Financial LLC since June 14, 2021. Prior to this, he worked with Cetera Investment Advisers LLC from November 12, 2020, to […]

Investors potentially experienced losses due to securities broker Surya Joshua Kane Metzler [CRD: 4558292, Newport Beach, California], according to disclosures on FINRA BrokerCheck. Evidently, Metzler worked for Capital Growth Resources from 2007 to 2008 and has since been employed by Centaurus Financial Inc. in Newport Beach, California since November 1, 2011, and by Newport Wealth […]

Investors might have sustained losses because of securities broker Stephen Romney Swensen (also known as Stephen Swenson) [CRD: 2885578, Clearfield, Utah], according to disclosures on FINRA BrokerCheck. It appears that Stephen Swensen worked for J.W. Cole Financial Inc. from May 8, 2018, to July 2, 2018. Keep reading to learn more about the investor disputes […]

Investors apparently complained about securities broker Santiago J. Torres Jr. [CRD: 5644622, Willow Street, Pennsylvania], according to disclosures on FINRA BrokerCheck. It appears that Torres worked for Truist Investment Services Inc. from February 17, 2021, to October 18, 2024, and BB&T Securities LLC from January 2, 2018, to February 17, 2021. Keep reading to learn […]

Investors potentially experienced losses due to securities broker Rodney Lee Boelter (also known as Rod Boelter) [CRD: 3199789, Scottsdale, Arizona], according to disclosures on FINRA BrokerCheck. It appears that Boelter worked for MML Investors Services LLC from March 25, 2017, to August 2, 2021. He is currently registered with Osaic Wealth Inc., located in Scottsdale, […]

Investors might have sustained losses because of securities broker Rodney David Potratz [CRD: 2367896, Clive, Iowa], according to disclosures on FINRA BrokerCheck. Apparently, Rodney Potratz worked for FSC Securities Corporation from October 7, 2003 to November 3, 2023, before registering with Osaic Wealth Inc. on November 3, 2023. Keep reading to learn more about the […]

Investors might have sustained losses due to securities broker Rita Mansour [CRD: 1968418, Toledo, Ohio], according to disclosures on FINRA BrokerCheck. It appears that Rita Mansour has been registered with McDonald Partners LLC since September 15, 2006, both as a broker and as an investment adviser. Keep reading to learn more about the disclosures involving […]

Investors potentially experienced losses due to securities broker Ray Don Gallette [CRD: 3041923, El Dorado Springs, Missouri], according to disclosures on FINRA BrokerCheck. Evidently, Gallette worked for Coastal Equities Inc. from January 4, 2013 to January 29, 2020. Keep reading to learn more about the disclosures involving this securities broker and the types of investments […]

Investors apparently complained about securities broker Randy Harris Schild [CRD: 2410144, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Schild has worked for Merrill Lynch Pierce Fenner Smith Incorporated since April 12, 2013. Keep reading to learn more about Schild’s disclosures involving client disputes and alleged sales practice violations. Merrill Lynch […]