Investors potentially experienced sales practice violations by securities broker Brett Michael Frum [CRD: 2175253, Green Bay, Wisconsin], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frum worked for AEI Securities Inc. from April 7, 2021, to August 17, 2021, and later became registered with KCD Financial Inc. beginning November 3, 2021, including registrations […]

Investors apparently complained about securities broker Troy Lee Robertson [CRD: 6831574, San Diego, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robertson has been registered with Emerson Equity LLC since April 30, 2024, and previously worked with Copley Financial Group Inc. beginning July 20, 2017. Investors are encouraged to review […]

Investors potentially incurred losses because of securities broker Michael William Jarvis [CRD: 2160274, McKinney, Texas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jarvis worked for Cetera Wealth Services LLC beginning on November 1, 2017, and later became registered with Cetera Investment Advisers LLC on June 29, 2023, after previously being […]

Investors potentially experienced sales practice violations by securities broker Leslie Lyn Little (also known as Leslie Lyn Gardner) [CRD: 2886719, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leslie Little has worked for J.P. Morgan Securities LLC since October 1, 2012. Investors are encouraged to continue reviewing the details […]

Investors apparently complained about securities broker Michael Robert Dandrea [CRD: 5919930, Melville, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Dandrea worked for Sovereign Global Advisors LLC from September 13, 2016, to February 23, 2024, and is currently registered with Arete Wealth Management LLC and Arete Wealth Advisors […]

Investors have reportedly disputed the sales practices of securities broker Timothy Patrick Sweeney [CRD: 2669172, Santa Barbara, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Sweeney has worked for Centaurus Financial Inc. beginning on September 9, 2015, and previously worked for Raymond James Financial Services Inc. during earlier periods of his […]

Investors potentially incurred losses because of securities broker Carey Allen James [CRD: 1420763, Arroyo Grande, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James worked for Centaurus Financial Inc. beginning on August 19, 2004, as a securities broker and later as a financial advisor starting September 10, 2009. Investors are […]

Investors may have incurred losses due to securities broker Michael Adam Battalini [CRD: 3204878, Sewickley, Pennsylvania], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Records show that Battalini was employed by World Capital Brokerage Inc. from December 22, 2022, through April 17, 2023, and previously worked for Coastal Equities Inc. from […]

Investors potentially experienced sales practice violations by securities broker Anthony Allen Brinkmeier (also known as Tony Brinkmeier) [CRD: 6256237, Omaha, Nebraska], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brinkmeier was registered with Woodmen Financial Services Inc. from April 16, 2014, to August 8, 2019, and later from October 25, 2019, to October […]