Investors might have sustained losses because of securities broker Evan Drew Saterfiel [CRD: 5193895, Lafayette, Louisiana], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Saterfiel has worked as a broker and investment adviser in Louisiana, most recently registered with NewEdge Securities LLC since March 6, 2023. He has also been affiliated with NewEdge […]

One or more investors apparently complained about securities broker Jeffrey K. Johnson (also known as Jeffrey Johnson) [CRD: 4769233, Denver, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jeffrey Johnson has been registered with UBS Financial Services Inc. since December 5, 2008, working from offices located at 4600 S. Ulster Street […]

Investors potentially experienced sales practice violations due to securities broker Tony Wei Wang [CRD: 4531200, Newport Beach, California], according to publicly available information through FINRA’s BrokerCheck. Evidently, Wang has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since November 5, 2010, serving both as a broker and an investment adviser at the firm’s Newport […]

Investors might have sustained losses because of securities broker Trevor Alexander Fried [CRD: 5709772, Fort Lauderdale, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Trevor Fried has been registered with Morgan Stanley at its Fort Lauderdale, Florida branch since November 12, 2009, serving as both a broker and investment adviser. Keep […]

One or more investors apparently complained about securities broker Janete Magalli Rivera-Michel (also known as Janete Rivera, Janete Sosa, and Magaly Sosa) [CRD: 5754050, Dallas, Texas], based on disclosures on FINRA BrokerCheck. Evidently, Rivera-Michel has been registered with PFS Investments Inc. since February 15, 2011. Keep reading to find out more about the investor allegations […]

Investors potentially experienced losses due to securities broker Hugh James McGuire [CRD: 1858293, Collingswood, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hugh McGuire worked for Hornor, Townsend Kent LLC from April 11, 2003, to August 2, 2022. Below, you can learn more about McGuire’s disclosures and a […]

One or more investors apparently complained about securities broker Cynthia S. Smith (also known as Cynthia Stein) [CRD: 2386038, Fort Myers, Florida], based on disclosures through FINRA’s BrokerCheck. Smith has been registered with Merrill Lynch Pierce Fenner Smith Incorporated in Fort Myers, Florida, since April 2, 2002. She has worked continuously with this firm in […]

Investors potentially experienced sales practice violations because of securities broker Mario Hank [CRD: 6723996, Houston, Texas], according to disclosures on FINRA BrokerCheck. Evidently, Mario Hank registered with Banorte Securities International, Ltd. since December 20, 2016, and worked with Banorte Asset Management Inc. since December 7, 2021. Below, you can find out more about the securities […]

Investors might have sustained losses due to securities broker Randy Cleve Fox (also known as Randy Fox) [CRD: 2726566, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Randy Fox worked for GT Securities Inc. from January 30, 2023, to April 17, 2024. Keep reading to discover more about the […]