Investors might have sustained losses due to securities broker David John Segarra [CRD: 4482059, Las Vegas, Nevada], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Segarra worked for LPL Financial LLC beginning January 22, 2024, and previously worked for Centaurus Financial Inc. from October 29, 2008, to January 19, 2024. Investors can see […]

Investors have reportedly disputed the sales practices of securities broker Michael Joseph Murray [CRD: 5034449, New York, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Murray worked for Laidlaw Company beginning on October 27, 2010, and remains registered with the firm. Keep reading to discover more about the disclosures […]

Investors potentially incurred losses because of securities broker Kerrie A. Coe (also known as Kerrie Cobb and Kerrie Lemon) [CRD: 4951159, Indianapolis, Indiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Coe worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC from January 21, 2014, to September 17, 2024, and […]

Investors potentially experienced sales practice violations by securities broker Jack Wong [CRD: 4210410, Mountain View, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jack Wong has worked for Morgan Stanley as a broker and investment adviser since September 2, 2011. Investors can see below to learn more about disclosures involving this securities […]

Investors apparently complained about securities broker Karen Elizabeth Briggs [CRD: 1100275, Edmonds, Washington], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Briggs worked for LPL Financial LLC from November 6, 2013, to December 20, 2022. Investors should continue reading to learn more about the disclosures involving Briggs. LPL Financial Investor Accused […]

Investors might have sustained losses due to securities broker Jade Eagles [CRD: 5939276, Los Angeles, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Eagles worked for TIAA-CREF Individual Institutional Services LLC from October 12, 2016, to November 13, 2020, and later became associated with The Wealthgarden F.S. LLC beginning January 1, […]

Investors potentially incurred losses because of securities broker Pamela Nisbet McWhorter (also known as Pam McWhorter, Pamela McWhorter-Libby, and Pamela Hurley) [CRD: 1137851, Smithfield, Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McWhorter worked for Edward Jones from February 1, 2018, to April 1, 2024, and later registered with Newbridge Securities Corporation […]

Investors potentially experienced sales practice violations by securities broker Matthew Robert Vance [CRD: 6446455, Manchester, Missouri], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Matthew Vance worked for Moloney Securities Co. Inc. from April 6, 2015, to September 20, 2021. Investors should continue reviewing the information below to discover more about […]

Investors have reportedly disputed the sales practices of securities broker Antonio Pedro Da Roza (also known as Antonio Daroza and Tony Daroza) [CRD: 2087563, Capitola, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Da Roza has worked for Merrill Lynch since September 16, 2011. Keep reading to find out more about […]