Investors possibly experienced sales practice violations by securities broker Edward Boyd Stephens [CRD: 4324797, Greensboro, North Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Stephens worked for Raymond James Financial Services Inc. from May 23, 2016, to November 11, 2024, and has been affiliated with 1808 Capital Partners as Partner and Director of Financial Planning […]

Investors might have sustained losses because of securities broker Brian Cantel [CRD: 1743229, Flowery Branch, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cantel has been registered with Berthel Fisher Company Financial Services Inc. since January 3, 2006, and also worked as an investment adviser with the same firm beginning […]

Investors apparently complained about securities broker Timothy Richard Yee [CRD: 2492578, Alameda, California], according to publicly available information on FINRA BrokerCheck. Evidently, Yee has been registered with Independent Financial Group LLC since July 8, 2015, and previously worked for LPL Financial LLC from May 30, 2014, to June 10, 2015. See the following summary for […]

Investors have reportedly disputed the sales practices of securities broker Kyle Mitchell McLaughlin [CRD: 2614967, Cincinnati, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McLaughlin worked for Morgan Stanley from September 23, 2013, to August 27, 2024, and currently works for RBC Capital Markets LLC since August 22, 2024. Read below […]

Investors potentially experienced sales practice violations due to securities broker James John Raia [CRD: 2397301, Ridgewood, New York], according to public information on FINRA BrokerCheck. Evidently, Raia worked for Moloney Securities Co. Inc. from February 1, 2018, to June 4, 2025, and is currently registered with Emerson Equity LLC in Irvine, California, since May 7, […]

Investors have reportedly disputed the sales practices of securities broker Michael Jerome Lickiss Jr. [CRD: 5135936, Danville, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Lickiss worked for Purshe Kaplan Sterling Investments from July 3, 2024, to January 13, 2025; Arkadios Capital from December 6, 2021, to July 5, […]

Investors possibly experienced sales practice violations by securities broker Joseph Frederick Eschleman (also known as Joe Eschleman) [CRD: 3237843, Sacramento, California], according to publicly available information on FINRA BrokerCheck. Evidently, Eschleman has been registered with Purshe Kaplan Sterling Investments since August 10, 2017, and with Towerpoint Wealth LLC since May 30, 2017. Read below for […]

Investors might have sustained losses because of securities broker Peter Joseph Kalmus [CRD: 1522531, Liverpool, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kalmus has been registered with IBN Financial Services Inc. since February 16, 2015. Read on to find out more about the disclosures concerning this securities broker. IBN […]

Investors apparently complained about investment adviser Claud Arthur Haws Sr. (also known as Art Haws) [CRD: 2051664, Franklin, Tennessee], according to public information on FINRA BrokerCheck. Evidently, Haws worked for Mercer Global Advisors Inc. as a Senior Wealth Advisor and Director from January 1, 2022, to the present, and previously for HawsGoodwin Investment Management LLC […]