Investors apparently complained about securities broker Brian Troy Hinson [CRD: 2783737, Huntsville, Alabama], according to disclosures on FINRA BrokerCheck. It appears that Brian Hinson worked for LPL Financial LLC from April 30, 2015 to December 5, 2023. Keep reading to learn more about Hinson’s disclosures involving investor allegations. Lincoln Financial Advisors Corporation Investor Accused Hinson […]

Investors apparently complained about securities broker Andrew David Burish [CRD: 1111163, Madison, Wisconsin], according to disclosures on FINRA BrokerCheck. It appears that Burish has worked at UBS Financial Services Inc. since April 19, 1984, as a securities broker, and since July 26, 1990, as an investment adviser representative. Keep reading to learn more about Burish’s […]

Auto-callable structured notes have led to over $1 billion in investor losses, with many brokers recommending them without fully disclosing the risks. If your financial advisor encouraged you to invest in these complex products, you may have grounds to recover your losses. Many of these investments, issued by major banks such as Goldman Sachs, JP […]

Investors reportedly may have incurred losses due to securities broker Stephen Herman Wedel (also known as Steve Wedel) [CRD: 1221992, Naples, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Wedel has worked for Private Client Services LLC since June 4, 2018, and RFG Advisory LLC since August 11, 2014. Previously, he worked […]

When navigating the complex world of securities transactions, one critical document often flies under the radar—but it shouldn’t: the legal opinion letter. Whether you're a startup founder, an angel investor, or a shareholder in a public company, understanding the role of legal opinion letters—particularly under Rule 144 of the Securities Act—is key to successfully and […]

Investors apparently complained about securities broker Edward Terral Hill (also known as Ed Hill) [CRD: 6008804, West End, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Edward Hill has worked for LPL Financial LLC in North Carolina since March 1, 2018. Previously, he worked for Edward Jones from January 27, 2012, […]

Investors might have sustained losses due to securities broker Phillip Chien-Cheng Kao [CRD: 4654233, San Rafael, California], according to disclosures on FINRA BrokerCheck. Evidently, Kao worked for Portsmouth Financial Services from August 2, 2021, to December 31, 2024, and Woodbury Financial Services Inc. from September 4, 2015, to August 4, 2021. He is currently registered […]

Investors might have sustained losses due to securities broker Kiefer [CRD: 2271043, Edmond, Oklahoma], according to disclosures on FINRA BrokerCheck. Kiefer has been registered with Equitable Advisors LLC since June 2, 2006. Previously, he was associated with AXA Advisors. Keep reading to learn more about the disclosures concerning Kiefer. Equitable Advisors LLC Investor Accused Jerry […]

Investors might have sustained losses due to securities broker Rita Mansour [CRD: 1968418, Toledo, Ohio], according to disclosures on FINRA BrokerCheck. Evidently, Mansour has been registered with McDonald Partners LLC since September 15, 2006, as a securities broker and since September 25, 2006, as a financial advisor. Keep reading to learn more about the disputes […]