Investors potentially experienced sales practice violations by securities broker Douglas Robert Fisher [CRD: 3196973, Grand Rapids, Michigan], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Fisher worked for LPL Financial LLC from February 23, 2009, to November 25, 2020. Keep reading to learn more about Fisher’s disclosures. LPL Financial Investor Accused […]

Investors might have sustained losses due to securities broker Bryan Keith Chew [CRD: 2004384, Elk Grove, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bryan Chew has worked for Commonwealth Financial Network as a securities broker since July 24, 2012, and as a financial advisor since July 25, 2012. Investors are encouraged […]

Investors apparently complained about securities broker Jeffery Alan Wimer (also known as Jeffrey Alan Wimer) [CRD: 2985293, Fort Lee, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wimer worked for Citigroup Global Markets Inc. from March 13, 2012, to March 21, 2024. Investors should review the information below to discover more […]

Investors have reportedly disputed the sales practices of securities broker Mark Andrew D'Ercole (also known as Mark Andrew Dercle and Mark Anthony Dercle) [CRD: 820220, San Francisco, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark D’Ercole worked for Portsmouth Financial Services from February 21, 2003, to December 31, 2022. […]

Investors potentially experienced sales practice violations by securities broker John Prokos Jr. [CRD: 1553091, Boca Raton, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Prokos worked for LPL Financial LLC beginning September 1, 2020, and previously worked for Lucia Securities LLC from September 9, 2011, to October 5, 2020, […]

Investors potentially incurred losses because of securities broker Nicole Noel Middendorf (also known as Nikki Middendorf, Nicole Vandergriff, and Nikki Vandergriff) [CRD: 3251084, Minneapolis, Minnesota], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Middendorf has been registered with Raymond James Financial Services Inc. since April 28, 2017, and with Raymond James Financial Services […]

Investors might have sustained losses due to securities broker Guillermo Agustin Eiben [CRD: 5697705, New York, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Guillermo Eiben worked for Morgan Stanley from September 17, 2009, to January 26, 2023, and has worked for UBS Financial Services Inc. since January 3, […]

Investors potentially experienced sales practice violations by securities broker Nicholas A. Peterson [CRD: 5985784, Annapolis, Maryland], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peterson has worked for Merrill Lynch as a securities broker since November 4, 2011, and as a financial advisor since November 30, 2011. Investors should review the […]

Investors have reportedly disputed the sales practices of securities broker Devin Shailesh Patel [CRD: 6632487, Tampa, Florida], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Devin Patel worked for Sanford C. Bernstein Co. LLC from January 30, 2023, to September 17, 2025. Investors are encouraged to continue reading to learn more […]