Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Leslie Ann Lauer [CRD: 2941432, Columbus, Ohio]. Evidently, Lauer worked for UBS Financial Services Inc. from May 2, 2006, to August 29, 2023, before joining RBC Capital Markets LLC in Atlanta, Georgia, on August 18, 2023. Keep reading to learn more about the client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Kyle Mostransky [CRD: 4763425, Huntington, New York]. Mostransky has worked for NYLIFE Securities LLC in Huntington, New York, since January 5, 2012. Evidently, he has faced client disputes regarding his conduct in the securities industry. Continue reading to learn more about the allegations and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Karen Irene Schmidt (also known as Karen Irene Dry, Karen Irene Scher, and Karen Irene Moore) [CRD: 5669963, Woodland Hills, California]. Schmidt joined Northwestern Mutual Investment Services LLC (NMIS) on August 11, 2010. Recent investor claims about her involve allegations related to her recommendations. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Karen Degro [CRD: 5048237, Boca Raton, Florida]. Evidently, Karen Degro worked for UBS Financial Services Inc. from April 27, 2016, to October 3, 2023, and works for Herbert J. Sims Co. Inc. as of September 22, 2023. Degro has been involved in client disputes […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor John Norman Doiron [CRD: 5305305, Toano, Virginia]. Doiron has worked for Cabot Lodge Securities LLC since 2013 and CL Wealth Management LLC since 2012. Keep reading to learn about the client disputes related to Doiron’s handling of private placements, including GWG […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John George Rotando Jr. [CRD: 2071444, Greenwich, Connecticut]. Rotando joined Wells Fargo Clearing Services LLC on April 29, 2016, and he also serves as a financial advisor with Wells Fargo Advisors. Before his time at Wells Fargo, he worked for UBS PaineWebber Inc. and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals that securities broker Jeffrey Thomas Higgins [CRD: 2871443, Baker City, Oregon] has been barred as a securities broker. Higgins worked for Western International Securities Inc. from August 21, 2017, to June 27, 2024. Notably, Higgins’ failure to cooperate with a FINRA investigation into potential misappropriation of client funds […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Gary Sauve [CRD: 411499, Bismarck, North Dakota]. Sauve worked for Centaurus Financial Inc. from June 4, 2015, to March 9, 2021. Sauve has faced client disputes, with allegations ranging from unsuitable investment recommendations to breaches of fiduciary duty. Continue reading to learn more about […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Garrett Wayne Moretz [CRD: 4086791, Mooresville, North Carolina]. Moretz joined LifeMark Securities Corp. on May 31, 2017. Investors and SEC have raised concerns regarding Moretz’s conduct, leading to allegations of misrepresentation, unsuitable recommendations, and negligence. Continue reading to learn more about the disclosures. SEC […]