Investors potentially experienced losses due to securities broker Ray Don Gallette [CRD: 3041923, El Dorado Springs, Missouri], according to disclosures on FINRA BrokerCheck. Evidently, Gallette worked for Coastal Equities Inc. from January 4, 2013 to January 29, 2020. Keep reading to learn more about the disclosures involving this securities broker and the types of investments […]

Investors apparently complained about securities broker Randy Harris Schild [CRD: 2410144, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Schild has worked for Merrill Lynch Pierce Fenner Smith Incorporated since April 12, 2013. Keep reading to learn more about Schild’s disclosures involving client disputes and alleged sales practice violations. Merrill Lynch […]

Investors potentially experienced losses due to securities broker Hermogenes-Gil Patrick Tantoco (also known as Patrick Tantoco or Hermongenes Gil Patrick Tantoco) [CRD: 5249850, Honolulu, Hawaii], according to disclosures on FINRA BrokerCheck. It appears that Tantoco worked for Independent Financial Group LLC until December 2016 and has been registered with Osaic Wealth Inc. since March 8, […]

Investors might have sustained losses because of securities broker Leonard Neil Rich [CRD: 375427, Uniondale, New York], according to disclosures on FINRA BrokerCheck. It appears that Leonard Rich has been registered with Joseph Gunnar Co. LLC since February 24, 2003. Keep reading to learn more about the securities broker’s disclosures and what they might mean […]

Investors might have sustained losses because of securities broker Larry Richard Hancock [CRD: 1514911, Federal Way, Washington], according to disclosures on FINRA BrokerCheck. Apparently, Hancock worked for Purshe Kaplan Sterling Investments from December 3, 2010, to January 2, 2020. He currently operates as President of ProActive Retirement Solutions and also serves as an investment adviser […]

Investors apparently complained about securities broker Julie Anne Darrah (also known as Julie Banuelos) [CRD: 2102014, Orcutt, California], according to disclosures on FINRA BrokerCheck. Evidently, Julie Darrah worked for Mutual Securities Inc. from June 28, 2013, to January 4, 2022. She also held an ownership role in Vivid Financial Management Inc. during her financial industry […]

Investors might have sustained losses due to securities broker Jonna Doris Keller (also known as Jonna Doris Edelmayer and Jonna Doris Hansen) [CRD: 1983864, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. It appears that Keller worked for SagePoint Financial Inc. from December 7, 2015 to September 1, 2023, and is currently registered with Osaic […]

Investors potentially experienced losses due to securities broker Jerry Dale Kiefer [CRD: 2271043, Edmond, Oklahoma], according to disclosures on FINRA BrokerCheck. Apparently, Kiefer has been employed by Equitable Advisors since June 2, 2006. Keep reading to learn more about the disclosures involving this securities broker. Equitable Advisors Investor Accused Kiefer Of Unsuitable Recommendations Evidently, an […]

Investors potentially experienced losses because of securities broker James Taylor Davis [CRD: 6646090, Lexington, Kentucky], according to disclosures on FINRA BrokerCheck. It appears that Davis worked for Northwestern Mutual Investment Services LLC from December 13, 2017, to June 21, 2024. Keep reading to learn more about the client disputes regarding Davis. Northwestern Mutual Investment Services […]