Investors possibly experienced losses because of securities broker Janet T. Doherty [CRD: 2073278, Staten Island, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Doherty worked for OSAIC Wealth Inc. from June 15, 2004, to February 8, 2024. Doherty also joined Cetera Advisors before working for both Vanderbilt Securities and Vanderbilt […]

Investors might have sustained losses due to securities broker Jack Matthew Cayce (also known as J.M. Cayce and Matt Cayce) [CRD: 4189311, Atlanta, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jack Cayce worked for Purshe Kaplan Sterling Investments since January 23, 2023, and Apollon Wealth Management LLC since May 12, […]

SEC fined securities broker Geoffrey Michael Wolterstorff (also known as Geoff Wolterstorff) [CRD: 2711805, Eau Claire, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Geoffrey Wolterstorff has worked for Lifemark Securities Corp. since October 1, 2018. Before joining this firm, Wolterstorff was employed by Foresters Equity Services Inc. from March 8, […]

Investors complained about securities broker Gary William Holland [CRD: 852976, Leominster, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gary Holland worked for Ameriprise Financial Services Inc. until 2015. He joined Cetera Investment Advisers in 2023 and Cetera Advisor Networks in 2021. Here’s more about the securities broker’s disclosures and the […]

Investors possibly experienced losses because of securities broker Donna Maria Seymour (also known as Donna Maria Pastorik) [CRD: 1714302, Winter Haven, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donna Seymour has worked for Centaurus Financial Inc. since July 27, 2016, and for Ingram Advisory Services LLC since September 15, 2009, […]

Investors might have sustained losses due to securities broker David Gary Simon [CRD: 1064191, Crystal Bay, Nevada], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, David Simon has worked for Western International Securities Inc. since January 23, 2004. Here’s more about the investor disputes and disclosures concerning this securities broker. Western International […]

Investors complained about securities broker Chuck A. Roberts [CRD: 2064602, Miami Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chuck Roberts has worked for Stifel Nicolaus Company Inc. since March 1, 2016, as both a financial advisor and securities broker. Below, investors can find a summary about Roberts’ disclosures and […]

Investors possibly experienced losses because of securities broker Cheryl Lyn Knight (also known as Cheri Knight) [CRD: 1854248, Foothill Ranch, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cheryl Knight started working at The Strategic Financial Alliance Inc. on November 12, 2003. Keep reading to learn more about the disclosures involving […]

Investors possibly experienced losses because of securities broker Celeste Oi Ling Leung (also known as Celeste Ling Ho) [CRD: 4812260, Burlingame, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leung worked for Cambridge Investment Research Inc. from May 2, 2024, to June 5, 2024, Ameriprise Financial Services LLC from April 19, 2024, […]