Investors have reportedly disputed the sales practices of securities broker Lawrence Allen Krause [CRD: 275153, Larkspur, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Krause worked for KW Securities Corporation from June 24, 1980, to April 2, 2024, and for B.B. Graham Company Inc. from December 1, 2021, to […]

Investors might have sustained losses because of securities broker Matthew Brett Koelliker [CRD: 5660722, San Francisco, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Koelliker worked for KKR Capital Markets LLC beginning on November 12, 2024. He also worked for M360 Advisors as Vice President between February […]

Investors potentially experienced sales practice violations by securities broker Gregory Dee Cunningham (also known as Greg Cunningham) [CRD: 2477804, Park City, Utah], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Cunningham has been registered with Raymond James Financial Services Inc. since March 1, 2010, and with Raymond James Financial […]

Investors apparently complained about securities broker David Christian Waal [CRD: 1226437, Irvine, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Waal worked for Emerson Equity LLC beginning on June 30, 2021, and previously worked for Orchard Securities LLC from May 8, 2020, to October 12, 2020. Keep reading for […]

Investors potentially incurred losses because of securities broker Hector Alberto Mena [CRD: 5400535, Hypoluxo, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Mena worked for Cetera Wealth Services LLC beginning November 22, 2021, and for Cetera Investment Advisers LLC beginning July 10, 2023; previously, he was registered […]

Investors have reportedly disputed the sales practices of securities broker Selwyn Miller (also known as Selwyn Milller) [CRD: 1695348, Woodland Hills, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Miller worked for Lincoln Investment from June 1, 2012, to February 22, 2024. Continue reading for details about Miller’s […]

Investors might have sustained losses because of securities broker Joseph Andre Darracq [CRD: 1250533, Pleasant Hill, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Darracq worked for Kestra Investment Services LLC from February 4, 2013, to June 14, 2021. Read below to learn more about Darracq’s disclosures. Kestra Investment […]

Investors apparently complained about securities broker John Hubert Chaney [CRD: 44529, Manchester, Missouri], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Chaney worked for Moloney Securities Co. Inc. from October 29, 2015, to December 31, 2023. See below for details about this broker’s disclosures. Moloney Securities Co. Inc. Investor […]

Investors have reportedly disputed the sales practices of securities broker Gina G. Francisco (also known as Gina Agness and Gina Winters) [CRD: 4490144, Ocala, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Francisco has been registered with LPL Financial LLC from August 21, 2018, to the present […]