Investors potentially experienced sales practice violations due to securities broker Patricia Holder (also known as Paquita Patricia Holder) [CRD: 2894768, Miami, Florida], according to public information on FINRA BrokerCheck. Evidently, Holder worked for Morgan Stanley from June 1, 2009, to February 22, 2024, and Insigneo Securities LLC and Insigneo Advisory Services LLC since February 23, […]

Investors apparently complained about securities broker Andrew Thomas Roberson (also known as Andy Roberson) [CRD: 4143407, Walnut Creek, California], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Roberson has worked for Emerson Equity LLC since August 11, 2025, as an investment adviser and since August 14, 2025, as a broker. He […]

One or more investors possibly experienced losses because of securities broker Brian Scott Lesley [CRD: 3090243, Starkville, Mississippi], based on publicly available information on FINRA BrokerCheck. Evidently, Lesley has worked for LPL Financial LLC since March 7, 2012, working through branch locations in Starkville, West Point, Louisville, Columbus, and Winona, Mississippi. Read below to learn […]

Investors might have sustained losses due to securities broker John Sandor Lemak [CRD: 845891, Dallas, Texas], according to disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Lemak has worked for Axiom Capital Management Inc. since February 18, 2015, and for Sandor Advisors LLC since July 23, 2002. Read on to discover more […]

Investors apparently complained about securities broker Ryan Gregory Caldwell [CRD: 6642132, New York, New York], according to disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Caldwell worked for Morgan Stanley from December 22, 2017, to June 22, 2023. Read below to find out more about the disclosures concerning Caldwell and the allegations that […]

One or more investors possibly experienced losses because of securities broker Chad Dwight Faulkenberry [CRD: 4827957, Orlando, Florida], according to publicly available information on FINRA BrokerCheck. Evidently, Faulkenberry worked for Charles Schwab Co. Inc. from July 14, 2014, to June 13, 2024. Read on to learn more about Faulkenberry’s disclosures. Florida Office Of Financial Regulation […]

Investors reportedly complained about securities broker Chi Chui Mak [CRD: 5045071, Brooklyn, New York], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mak has worked with TD Private Client Wealth LLC since June 28, 2023, at both its New York, New York, and Brooklyn, New York, offices. Previously, Mak was employed […]

Investors potentially experienced sales practice violations due to securities broker Ralph Vallega Ganchero [CRD: 2601660, Westminster, California], based on public information on FINRA BrokerCheck. Evidently, Ganchero has worked for Citigroup Global Markets Inc. in West Hollywood, California, since January 13, 2016, working in the firm’s CWM Retail Sales division. Read below to learn more about […]

Investors apparently complained about securities broker David Andrew Gaffney [CRD: 3004164, New Lenox, Illinois], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gaffney worked for Wintrust Investments and Wintrust Investments LLC from January 30, 2015, to January 23, 2025, and is currently registered with LPL Financial LLC as of […]