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. […]

Investors potentially incurred losses because of securities broker Donald Richard Abaunza Jr. [CRD: 3172450, Harvey, Louisiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Abaunza has worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC since August 10, 2022, and previously worked for Hancock Whitney Investment Services Inc. from February […]

Investors might have sustained losses due to securities broker Curtis Michael Luckman [CRD: 2865603, Woodbury, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Luckman worked for American Portfolios Financial Services Inc. from January 5, 2004, to October 11, 2024, and Osaic Wealth Inc. from October 11, 2024, to July 9, 2025. […]

Investors potentially experienced sales practice violations by securities broker Daniel L. Erben [CRD: 2994110, Saddle Brook, New Jersey], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Erben worked for TD Private Client Wealth LLC from October 18, 2018, to March 4, 2026, and became registered with Oppenheimer Co. Inc. in April 2026. […]

In a recent article from Financial Advisor, they report that a FINRA arbitration panel has ordered Minnesota Life Insurance Company and BRIAN L FREEMAN a former registered representative with Securian Financial Services to pay nearly $1 million to a California couple who claimed they were allegedly recommended putting a major cash infusion into a variable […]

Investors apparently complained about securities broker William Eugene King III (also known as Gene King) [CRD: 1542794, Florence, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. King worked for Sequence Financial Specialists LLC from June 3, 2015, to February 15, 2024; Exemplar Capital LLC from February 20, 2024, to January […]

Investors potentially incurred losses because of securities broker Daniel Lee Becraft [CRD: 2877734, Seattle, Washington], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Becraft has worked for Morgan Stanley since June 1, 2009. Read on to find out more about Becraft’s client dispute disclosures. Becraft Accused Of Unsuitable Trading By Morgan […]

Investors may have suffered financial harm by securities broker Alwin F. Martinez Gonzalez [CRD: 4890434, Orlando, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martinez worked for Investment Planners Inc. from October 22, 2020, to February 10, 2026, and IPI Wealth Management Inc. from February 18, 2021, to February 10, 2026; he […]