Investors apparently complained about securities broker August Anthony Ferretti [CRD: 6781808, Parsippany, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Ferretti has worked for Bankers Life Securities Inc. since April 21, 2017, and with Bankers Life Advisory Services Inc. since September 25, 2018. Here’s more about the securities broker’s disclosures. Bankers […]

Investors reportedly may have incurred losses due to securities broker Ashlee Nicole Godfrey (also known as Ashlee Nicole Bramlett and Ashlee Nicole Sharp) [CRD: 5889108, Dalton, Georgia], according to disclosures on FINRA BrokerCheck. According to the regulator, Godfrey worked for Benjamin F. Edwards Company Inc. from October 1, 2021, to November 21, 2023, and for […]

Investors potentially experienced losses because of securities broker Andrew William Payne [CRD: 5607123, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Andrew Payne worked for UBS Financial Services Inc. from October 12, 2011, to August 17, 2023, and Aegis Capital Corp. from August 2, 2023, to April 11, 2024. […]

Mergers and acquisitions (M&A) can be transformational for small business owners. Whether you are selling your business for maximum value or acquiring a new one for growth, the process is filled with legal complexities. Without proper legal oversight, small business owners risk financial liabilities, contract disputes, and regulatory setbacks. An experienced M&A attorney ensures the […]

What you’ll learn: Why early-stage legal protection is critical for startups, how securities lawyers help businesses avoid costly mistakes, and how legal counsel ensures compliance and investor confidence. Starting a business is exciting, but without the right legal foundation, it can quickly become risky. Founders often focus on growth and funding while overlooking legal compliance—until […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Samuel Lisk (also known as Tom Lisk) [CRD#: 5010650, Bristol, Virginia]. Lisk has been in the financial industry for 19 years and has been associated with multiple firms throughout his career, including Center Street Securities, Inc., Arete Wealth Advisors, LLC, and currently, Realta […]

How to raise capital legally and efficiently without full SEC registration, using exempt offerings under Regulation D, Regulation CF, and Regulation A. Raising capital fuels business growth, but SEC registration can be slow and expensive. Fortunately, many companies can avoid the full process by using exempt offerings—a faster, cost-effective way to secure investment while staying […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Robert Joseph Earls Jr. [CRD: 1369915, Roanoke, Virginia]. Earls was previously registered as both a broker and an investment adviser, most recently working for LPL Financial LLC from June 2011 to February 2024. Recent disclosures detail multiple customer disputes, allegations of misappropriation, and an […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Zachary McCraw (also known as Zach Ross McCraw) [CRD: 7003820, Ridgeland, Mississippi]. McCraw was previously registered with Pruco Securities LLC from November 2018 to July 2023, serving as a registered representative. Recent disclosures reveal concerns about McCraw’s conduct, including allegations of submitting non-genuine electronic […]