Investors potentially experienced sales practice violations by securities broker Samuel Hughes Butterworth III (also known as Sam Butterworth) [CRD: 2793567, Austin, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Butterworth has worked for Merrill Lynch since October 23, 2009. Read on to find out more about Butterworth’s client-dispute disclosures. Sam Butterworth Disclosed […]

Investors apparently complained about securities broker Duvan Ledbetter Brock [CRD: 1632101, Calhoun, Georgia], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brock was registered with Dempsey Lord Smith LLC as a securities broker from August 24, 2009, to November 21, 2025, and as a financial advisor from August 26, 2009, to […]

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 […]