Investors potentially experienced sales practice violations because of securities broker Kevin William McBarron [CRD: 1282026, Carlsbad, California], according to disclosures on FINRA BrokerCheck. McBarron joined LPL Financial LLC on March 17, 2025. Before joining LPL, he worked with Union Capital Company in Carlsbad, California, and Tucson, Arizona, from December 19, 2015 to April 3, 2025. […]

One or more investors possibly experienced losses due to securities broker Patrick Morehead [CRD: 6661646, Los Angeles, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, Morehead worked for American Trust Investment Services Inc. from January 27, 2020 to September 14, 2020, and with WestPark Capital Inc. from November 14, 2017 […]

Investors might have sustained losses because of securities broker Jonna Doris Keller (also known as Jonna Edelmayer and Jonna Hansen) [CRD: 1983864, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. Keller joined Osaic Wealth Inc. on September 1, 2023, and previously worked at SagePoint Financial Inc. from December 7, 2015 to September 1, 2023. Keep […]

Investors reportedly complained about securities broker Christopher Martin Hayes (also known as Chris Hayes) [CRD: 2333190, Centerville, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Hayes joined Fifth Third Securities Inc. on August 30, 2004, and became a financial advisor with the same firm on February 14, 2005. Read on to […]

Investors potentially experienced sales practice violations due to securities broker Richard Dennis Laspaluto (also known as Rick Laspaluto) [CRD: 2541603, Las Vegas, Nevada], according to publicly available information on FINRA BrokerCheck. It appears that Richard Laspaluto joined Centaurus Financial Inc. on August 29, 2005, working as both a securities broker and financial advisor. Read the […]

One or more investors possibly experienced losses because of securities broker John Austin Howle [CRD: 1284162, Dallas, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Howle worked for USCA Securities LLC beginning August 1, 2014, and also registered with U.S. Capital Wealth Advisors LLC as of June 30, 2021. Previously, […]

Investors might have sustained losses due to securities broker Harold Francis Puhl (also known as Chip Puhl) [CRD: 1045552, Dallas, Texas], according to disclosures on FINRA BrokerCheck. Notably, Puhl joined Cetera Wealth Services LLC on October 17, 2002, and Cetera Investment Advisers LLC on June 29, 2023. He was previously registered with Cetera Advisor Networks […]

Investors apparently complained about securities broker Cary Edward Urich [CRD: 2132001, Greenville, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Urich joined Vanderbilt Securities LLC, Consolidated Portfolio Review Corp, and Vanderbilt Advisory Services, all located in Greenville, South Carolina, in 2024-2025. He previously worked with United Planners’ Financial Services of […]

Investors potentially experienced sales practice violations because of securities broker Stephen Chester Kiszlowski (also known as Steve Kiszlowski) [CRD: 2440000, Grosse Pointe Woods, Michigan], according to disclosures on FINRA BrokerCheck. It appears that Kiszlowski worked for Center Street Securities Inc. from October 29, 2018 to March 9, 2023, and for Independence Capital Co. Inc. from […]