Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian Hayden Solomon (CRD: 1715160, Encinitas, California). Solomon has worked in the financial industry for 37 years and has been registered with Independent Financial Group LLC since 2005. Recent disclosures reveal concerns regarding Solomon’s conduct, including allegations related to the suitability of investments and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Bradley Scot Frisk (also known as Bradley S. Frisk) [CRD: 5957389, Sacramento, California]. Evidently, Frisk has been registered with Raymond James Financial Services Inc. and Raymond James Financial Services Advisors Inc. since June 30, 2023. Notably, recent disclosures reveal concerns about Frisk’s conduct, including […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Billy James Aycock (CRD#: 4069907, Overland Park, Kansas). Aycock has worked in the securities industry for over 23 years, registering with 11 firms throughout his career. He is currently registered with Cabin Securities Inc. and Cabin Advisors LLC since December 13, 2023. Prior to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Bernell D. Baker (CRD: 5493956, Eagle Mountain, Utah). Baker has been registered with LPL Financial LLC since November 12, 2012. Recent disclosures reveal concerns regarding Baker’s conduct, including allegations of unsuitable investment recommendations and misrepresentation. Client Disputes Alleged Unsuitable Recommendations, Misrepresentation Specifically, on March […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ayad Beshara Saad (CRD#: 1912377, Melbourne, Florida). Saad previously worked at Morgan Stanley from March 2013 to December 2023. Recent disclosures highlight concerns regarding Saad’s professional conduct, including allegations of misrepresentation, unauthorized transactions, and employment terminations. Learn more about these disclosures below. Settled Client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Howard Dennis Kavinsky (also known as Howard Kavinsky) [CRD#: 5881623, Chicago, Illinois]. Howard Kavinsky worked for several firms during his 13-year career in the securities industry. He worked for Hornor, Townsend & Kent, Inc. from March 2011 to March 2015, Morgan Stanley from April […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Lowther (also known as Jason Smith) [CRD#: 2606268, Ann Arbor, Michigan]. Jason Lowther has over 27 years of experience in the securities industry and is currently employed by Concorde Investment Services, LLC, where he has worked since September 2021. He previously worked for […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Adam Ryan Jacobs [CRD: 4990788, Beachwood, Ohio]. Adam Jacobs has been employed with Oppenheimer & Co. Inc. since January 23, 2009. He has spent over 15 years with the firm and currently serves as a financial advisor in its Beachwood, Ohio branch. Recent disclosures […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Rodney Wayne Rich Jr. (also known as Rod Rich Jr., Rodney W. Rich, Rodney Rich) [CRD: 714642, Bellevue, Washington]. Rodney Rich Jr. has been registered with Ameriprise Financial Services, LLC, since April 29, 2016. Recent disclosures reveal concerns about Rich’s conduct, including allegations involving […]