Investors have reportedly disputed the sales practices of securities broker Alon J. Rosin [CRD: 2758070, New York, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rosin has worked for Oppenheimer Co. Inc. since May 13, 2013. Read on to find out more about disclosures involving this securities broker. […]

Investors might have sustained losses due to securities broker James Thomas Chapman (also known as Tom Chapman) [CRD: 4837315, Vestavia Hills, Alabama], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chapman worked for Equitable Advisors LLC from September 28, 2004, to December 11, 2025. See the following information to discover more about […]

Investors apparently complained about securities broker Thaddeus Michael Eubanks [CRD: 5888014, Yuba City, California], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. FINRA BrokerCheck reflects that Eubanks was registered with Edward Jones in Yuba City, California for more than a decade before his association with the firm ended in 2026. Keep reading […]

Investors potentially incurred losses because of securities broker Leslie D. Sprockett [CRD: 2886716, Elgin, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leslie Sprockett worked for WRP Investments Inc. from June 11, 1997, to September 12, 2014, and has worked for StoneX Securities Inc. since September 12, 2014. Investors are […]

Investors potentially experienced sales practice violations by securities broker Chad Kristopher Mehle [CRD: 7008517, Irvine, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mehle worked for J.P. Morgan Securities LLC from September 20, 2023, to March 25, 2026, and previously worked for Merrill Lynch from July 5, 2022, to […]

Investors have reportedly disputed the sales practices of securities broker Gregory Mark Switzer [CRD: 2968795, Charlottesville, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Switzer worked for TIAA-CREF Individual Institutional Services LLC since November 24, 1997, and Advice and Planning Services since July 28, 2005. See the following information to discover more […]

Investors might have sustained losses due to securities broker Elizabeth Florence Ortiz (also known as Elizabeth Barber, Betsy Barber, and Betsy Ortiz) [CRD: 6818113, Austin, Texas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ortiz has worked for Charles Schwab Co. Inc. from December 11, 2017, to the present. Read on to […]

Investors potentially incurred losses because of securities broker James Anthony Medsker (also known as Jim Medsker) [CRD: 1294250, Dublin, Ohio], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Medsker worked for Wells Fargo Clearing Services LLC from October 26, 2018, to January 25, 2024. Investors are encouraged to continue reading to learn […]

Investors apparently complained about securities broker Christopher Todd Norton [CRD: 5386000, Boca Raton, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Norton worked for I-Bankers Direct LLC from February 15, 2019, to August 28, 2023, Sutter Securities Incorporated since August 28, 2023, and Boustead Securities LLC since October 4, 2023. Keep […]