Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Richard Mireles (CRD#: 5288651, San Diego, California). Mireles has worked for Independent Financial Group LLC since May 2010. Recent disclosures indicate that FINRA has sanctioned Mireles, suspending him from principal and supervisory roles due to failure to address excessive trading red flags raised by […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Richard Jay Rustic (CRD#: 1128406, Bristol, Connecticut). Rustic has been registered with Commonwealth Financial Network since February 26, 2002. Previously, he was affiliated with First Investors Corporation from April 1983 to February 2002. Recent disclosures reveal concerns regarding Rustic's professional conduct, specifically allegations of […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michelle Elise Anthony (also known as Michelle Elise Murphy, Michelle Elise Murphy Anthony, Michelle Elise Murphy-Wall) [CRD#: 4512228, Tucson, Arizona]. Michelle Anthony has worked in the securities industry for over 21 years and is currently registered with Centaurus Financial Inc. in Tucson, Arizona. Since […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Matthew Bradley Mitchell (also known as Matthew Mitchell) [CRD: 4854608, Tulsa, Oklahoma]. Mitchell previously worked for BOK Financial Securities Inc. from August 2008 to January 2023 before joining Aegis Capital Corp. in January 2023. Recent disclosures raise concerns about Mitchell’s professional conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Mark Douglas Erwin (CRD: 3039639, Napa, California). Erwin has been registered with Commonwealth Financial Network since January 5, 2006, and has over 26 years of experience in the financial industry. Recent disclosures reveal concerns about Erwin’s conduct, including allegations of unauthorized distributions and unsuitable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Marcel Pahmer (CRD#: 4565391, Newport Beach, California). Pahmer worked for Centaurus Financial Inc. from November 2007 to January 2025 and previously for AXA Advisors LLC from October 2002 to November 2007. Recent disclosures reveal concerns about Pahmer’s conduct, including allegations of recommending unsuitable, high-risk, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Lorraine Gallette (also known as Lorraine Marie Schmidt) (CRD#: 6192487, El Dorado Springs, Missouri). Gallette was previously registered with Coastal Equities Inc. from July 2013 to January 2021 and later joined Moloney Securities Co. Inc., where she remained until April 2022. Recent disclosures reveal […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Lawrence Roger Rice (CRD#: 375304, Lauderdale by the Sea, Florida). Rice was previously registered with multiple firms, including Centaurus Financial Inc. (2022-2024) and Ameriprise Financial Services Inc. (2014-2022). Recent disclosures indicate that FINRA has permanently barred Rice from acting as a broker or associating […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Laura Casey (also known as Laura H. Casey, Laura Aline Hubbard, and Laura H. Hubbard) [CRD: 2684465, Red Bank, New Jersey]. Laura Casey worked for Morgan Stanley from July 2018 to September 2022 and later joined Capitol Securities Management Inc. in August 2022. However, […]