Investors might have sustained losses through securities broker William David Carlton (also known as Bill Carlton) [CRD: 1215541, Bellevue, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Carlton worked for Cetera Advisors LLC from September 8, 2022, to January 17, 2024, and for First Allied Securities Inc. from December 9, 2008, to September 8, 2022. […]

One or more investors possibly experienced losses because of securities broker John Anthony Nole [CRD: 1609191, St. Petersburg, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nole joined Paulson Investment Company LLC on July 15, 2016. He previously worked with Paulson Investment Advisors LLC in Portland, Oregon from April […]

Investors reportedly complained about securities broker Dennis Michael Haywood II (also known as Denny Haywood) [CRD: 5850275, Land O’ Lakes, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Haywood worked for Crown Capital Securities, L.P. from March 18, 2013, to January 5, 2022. Keep reading to find out more about Haywood’s disclosures and the disputes […]

One or more investors possibly experienced losses because of securities broker Jeffrey Lynn Bangerter [CRD: 1687028, Roseville, California], according to publicly available information on FINRA BrokerCheck. Evidently, Bangerter joined Concorde Investment Services LLC on February 28, 2019, and joined Concorde Asset Management LLC on May 4, 2023, and Bangerter Financial Services Inc. on October 20, […]

Investors reportedly complained about securities broker Michael Joseph Whitaker [CRD: 6316100, The Villages, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Whitaker worked for Newbridge Securities Corporation from April 10, 2014, to March 24, 2025. Keep reading to learn more about the disclosures involving Whitaker and the allegations connected to his […]

Investors potentially experienced sales practice violations due to securities broker Krikor Greg Demirjian [CRD: 4212275, Encino, California], according to public information found on FINRA BrokerCheck. Evidently, Demirjian worked with Western International Securities Inc. from May 27, 2008, to September 20, 2024, before registering with Vanderbilt Securities LLC on September 16, 2024, and Vanderbilt Advisory Services […]

Investors might have sustained losses through securities broker David William Reimer [CRD: 2350952, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Reimer worked for National Securities Corporation in Mineola, New York, from March 13, 2015, to August 8, 2017, then for Aegis Capital Corp. in New […]

One or more investors possibly experienced losses because of securities broker William Christopher Duffy (also known as Will Duffy) [CRD: 6726333, Lone Tree, Colorado], according to publicly available information on FINRA BrokerCheck. Evidently, Duffy worked for Innovation Partners LLC from August 9, 2022, to January 3, 2024, Sharenett Securities LLC from February 13, 2022, to […]

Rule 144, a crucial part of the Securities Act of 1933, provides a “safe harbor” for selling restricted or control securities to the public without undergoing the formal SEC registration process—provided certain conditions are met. Core Concepts Restricted SecuritiesThese are shares obtained through private transactions directly from the issuer and not registered with the SEC. […]