Investors potentially experienced losses due to securities broker Mark Gilbert Beesley [CRD: 5362689, Boston, Massachusetts], according to disclosures on FINRA BrokerCheck. Beesley was employed by Wood (Arthur W.) Company Inc. from August 24, 2021, to April 17, 2023, and previously worked for LPL Financial LLC from March 11, 2019, to November 4, 2020. Keep reading […]

Investors might have received losses because of securities broker Mark Allen Carter (also known as Mark Carter) [CRD: 6387371, Charlotte, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Mark Carter worked for Pruco Securities LLC from September 8, 2014, to March 25, 2024. Here’s more about the securities broker’s disclosures. Pruco […]

FINRA sanctioned securities broker Kittiany Davis Barrios (also known as Kittiany Davis-Barrios) [CRD: 6941840, Cranbury, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Davis Barrios worked for PFS Investments Inc. from March 15, 2019, to February 22, 2024. Read on to learn more about the disclosures concerning Davis Barrios. FINRA Sanctioned […]

Investors reportedly may have incurred losses due to securities broker Kathy Ann Borkovec (also known as Kathy Ann Berry and Kathy Ann Wallenfang) [CRD: 1867575, Northbrook, Illinois], according to disclosures on FINRA BrokerCheck. Borkovec has worked for Charles Schwab Co. Inc. since January 9, 2006, as a broker and since March 9, 2006, as an […]

Investors potentially experienced losses because of securities broker Julie Anne Darrah (also known as Julie Banuelos) [CRD: 2102014, Orcutt, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Julie Darrah worked for Mutual Securities Inc. from June 28, 2013, to January 4, 2022. Here’s more about the securities broker’s disclosures. Mutual Securities Inc. […]

Investors apparently complained about securities broker Jorge Menendez [CRD: 5138358, Miami, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Menendez has worked for Citigroup Global Markets Inc. since November 21, 2013, working at Citi Retail Banking in Miami, Florida, and CWM Retail, Sales in Doral, Florida. Read on to learn more about […]

Investors might have received losses due to securities broker Jonna Doris Keller (also known as Jonna Doris Edelmayer and as Jonna Doris Hansen) [CRD: 1983864, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Keller has worked for Osaic Wealth Inc. since September 1, 2023. Previously, Keller worked for SagePoint Financial Inc. […]

Investors reportedly may have incurred losses because of securities broker John Peter Micera [CRD: 1255342, Mendham, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Micera has worked for RBC Capital Markets LLC at its Florham Park, New Jersey, location since March 9, 2002, and at its Mendham, New Jersey, location since […]

Investors potentially experienced losses due to securities broker John Hubert Chaney [CRD: 44529, Manchester, Missouri], according to disclosures on FINRA BrokerCheck. According to the regulator, John Chaney worked for Moloney Securities Co. Inc. from October 29, 2015, to December 31, 2023. Read on to learn more about the securities broker’s disclosures. Investor Alleged Unsuitable Advice […]