Investors potentially experienced losses because of securities broker Bowman James Nicholson (also known as Bowman J. Nicholson) [CRD: 6050450, Raleigh, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bowman Nicholson has been employed by Capital Investment Group Inc. and Capital Investment Advisory Services LLC since May 5, 2016. Both firms […]

One or more investors apparently complained about securities broker Bradley Steven Vick (also known as Brad Vick, Bradley S. Vick) [CRD: 2056504, Stillwater, Minnesota], according to publicly available information on FINRA BrokerCheck. Evidently, Bradley Vick has worked with LPL Financial LLC since May 30, 2024. Prior to that, he was registered with Northwestern Mutual Investment […]

Investors potentially experienced sales practice violations due to securities broker Peter Allen Barry [CRD: 2235548, Los Angeles, California], based on disclosures through FINRA’s BrokerCheck. Evidently, Peter Barry has been registered with Raymond James Associates Inc., located at 10250 Constellation Blvd. Suite 850, Los Angeles, California, since April 18, 2018, and has also been associated with […]

One or more investors apparently complained about securities broker Angela Mullis Bender (also known as Angela Ruth Mullis) [CRD: 5208180, Leesburg, Virginia], according to publicly available information on FINRA BrokerCheck. Evidently, Angela Bender has worked for Osaic Wealth Inc. since August 23, 2024, and for AMJ Financial Wealth Management LLC since June 1, 2012. She […]

Investors might have sustained losses due to securities broker Valery Lynn Oswald (also known as Valery Lynn Sager and Valery Lynn Schollenbarger) [CRD: 1997347, Oklahoma City, Oklahoma], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Oswald worked for Raymond James Associates Inc. from January 10, 2014, to July 17, 2018. See the […]

Investors potentially experienced sales practice violations due to securities broker Shannon Renee Roehrs [CRD: 4359877, Las Vegas, Nevada], according to disclosures through FINRA’s BrokerCheck. Evidently, Shannon Roehrs has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since October 23, 2009, and continues to serve as a broker and investment adviser at their Las Vegas, […]

Investors potentially experienced losses due to securities broker John Anthony Cutrone III (also known as John Anthony Cutrone) [CRD: 6427013, New York, New York], based on disclosures on FINRA BrokerCheck. Evidently, Cutrone worked for Aegis Capital Corp. from August 30, 2017, to June 14, 2024. Keep reading to discover more about the disclosures made against […]

One or more investors apparently complained about securities broker David Norman Dunn [CRD: 2819556, Walnut Creek, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, David Dunn worked for Oppenheimer Co. Inc. in San Francisco, California, from January 16, 2007, to January 13, 2023, before moving to Raymond James Associates […]

Investors potentially experienced losses due to securities broker Joel Alexander Minner [CRD: 6829281, Clarksville, Tennessee], based on disclosures on FINRA BrokerCheck. Evidently, Joel Minner worked for HD Vest Investment Services from September 27, 2017, to May 18, 2018, then for Avantax Investment Services Inc. from August 29, 2018, to August 6, 2024, and most recently […]