Latest Securities Lawyer News

Investors potentially incurred losses because of securities broker Juan Pablo Rionda [CRD: 2363399, Delray Beach, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rionda has been registered with Merrill Lynch as a securities broker since September 10, 1993, and as a financial advisor since September 16, 1993. See below to discover […]

Investors may have suffered financial harm by securities broker Joel Donald Marks [CRD: 320209, Fredericksburg, Virginia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marks worked for CUNA Brokerage Services Inc. from June 6, 2018, to May 17, 2022, and has worked for Ameriprise Financial Services LLC since May 17, 2022. Investors […]

Investors potentially experienced sales practice violations by securities broker John Patrick Hoile (also known as Jack Hoile) [CRD: 3235563, Raleigh, North Carolina], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hoile has worked for Wells Fargo Clearing Services and Wells Fargo Advisors since October 6, 2017; the disclosures also identify Equitable […]

Investors might have sustained losses due to financial advisor Dustin Robert Stanley [CRD: 6402870, Sarasota, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stanley worked for Strategic Wealth Investment Group LLC from December 2, 2014, to February 11, 2025; Prime Capital Financial from February 27, 2025, to October 1, 2025; and […]

Investors may have sustained losses involving Chad Dwight Faulkenberry [CRD: 4827957, Winter Springs, Florida], according to FINRA BrokerCheck. Faulkenberry is currently registered with Hightower Advisors LLC and Hightower Securities LLC. He previously worked for Journey Strategic Wealth LLC, Schwab Wealth Advisory Inc., and Charles Schwab Co. Inc. His record includes a regulatory action and client […]

Investors potentially incurred losses because of securities broker Shuang Guo (also known as Grace Guo) [CRD: 6728775, Myrtle Beach, South Carolina], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Guo worked for AC Sunshine Securities LLC from September 26, 2022, to May 15, 2023; Pruco Securities LLC from April 26, 2023, […]

Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]

Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]

Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]