FINRA barred securities broker Fernando Corcuchia [CRD: 5394734, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Fernando Corcuchia worked for NYLife Securities LLC from August 15, 2011, to May 12, 2023. Continue reading to learn more about Corcuchia’s regulatory actions and client disputes. FINRA Barred Corcuchia For Refusal To […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Edward Dale McCombs [CRD: 2475032, Whitehall, Michigan], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Edward McCombs worked for PNC Investments from November 13, 2009. Keep reading to learn more about the disclosures involving […]

Investors might have sustained losses due to securities broker Donald J. Dever [CRD: 5317492, West Palm Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donald Dever joined UBS Financial Services Inc. on December 2, 2015. Continue reading to learn more about the disclosures involving Dever. UBS Financial Services Inc. Accused […]

Investors might have sustained losses due to securities broker Daniel Benjamin Kistler [CRD: 6203300, Rome, Georgia], based on the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kistler has been registered with Dempsey Lord Smith LLC since October 13, 2016. To learn more about the client disputes, keep reading. Dempsey Lord Smith LLC […]

FINRA sanctioned securities broker Cynthia S. Beyerlein (also known as Cindy Beyerlein) [CRD: 4320421, San Diego, California], considering the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Beyerlein worked for Ameriprise Financial Services LLC from April 25, 2014, until February 9, 2023, and briefly at Kingswood Capital Partners LLC from March 28, 2023, to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Christina Marie Silvius (also known as Christina Marie Lomas) [CRD: 4559574, Kansas City, Missouri], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christina Silvius has been registered with Moloney Securities Co. Inc. since September 23, […]

Have you ever come across financial products with strange names and promises of hefty returns? If you've encountered CUSIP numbers like 61771E5N4, 61771VAB6, and 61771VB90, there's a good chance they represent contingent income auto-callable securities (CIACS). Now, before you get swept away by the possibility of big payouts, let's dissect these seemingly complex financial instruments […]

Investors might have sustained losses due to securities broker Carroll Mac Wilson Jr. [CRD: 2777324, Beverly Hills, California], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wilson was employed by U.S. Bancorp Investments Inc. from May 18, 2005, to August 25, 2022. Continue reading to learn more about the disclosures involving […]

Investors may have incurred losses due to securities broker Brian Scott Graham [CRD: 2581633, Plainfield, Illinois], as reported by the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Graham was previously employed with Cetera Advisor Networks LLC from September 3, 2013, to April 12, 2024, and with Tower Square Securities Inc. from June 23, 2010, to September […]