Investors potentially experienced sales practice violations because of securities broker Mark Connolly [CRD: 4443644, Fort Worth, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Connolly joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on January 1, 2008, operating out of Fort Worth and Colleyville, Texas. Below, you can learn more […]

Investors might have sustained losses due to securities broker John Mickelson [CRD: 2628700, Logan, Utah], according to disclosures on FINRA BrokerCheck. Specifically, Mickelson worked for Cambridge Investment Research Inc. from October 19, 2012 to December 31, 2022, and for Crown Capital Securities, L.P. from January 3, 2023 to March 12, 2024. He joined CreativeOne Securities […]

One or more investors possibly experienced losses because of securities broker Jie Zheng [CRD: 4187935, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zheng previously worked for Allied Millennial Partners LLC from January 17, 2014 to January 3, 2020. Read the following sections to know more about Zheng’s client […]

Investors might have sustained losses due to securities broker Joanna Wang (also known as Jian Wang) [CRD: 4056171, Fort Mill, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Wang worked for Pruco Securities LLC from July 22, 2002 to November 14, 2024, and joined LPL Enterprise LLC on […]

Investors potentially experienced sales practice violations because of securities broker Paul Andrew Valdivia [CRD: 6045337, Greenville, South Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Valdivia joined Fidelity Brokerage Services LLC on June 5, 2012, and works as a financial advisor at Strategic Advisers LLC as of March 31, 2025. His previous employment includes Fidelity […]

Investors might have sustained losses due to securities broker Frank John Ward [CRD: 1621434, Omaha, Nebraska], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ward joined Raymond James Financial Services Inc. on June 17, 2015, and Raymond James Financial Services Advisors Inc. on June 19, 2015. Read the following sections to learn […]

One or more investors possibly experienced losses due to securities broker Daniel Silverberg (also known as Dan Silverberg and Danny Silverberg) [CRD: 1576956, Margate City, New Jersey], according to public information on FINRA BrokerCheck. Notably, Silverberg worked for UBS Financial Services Inc. from July 22, 2021, and worked for Morgan Stanley from March 23, 2012 […]

FINRA suspended securities broker Michael Joseph Dugan (also known as Michael Joe Dugan and Mike Dugan) [CRD: 2824966, Staten Island, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Dugan worked for Alexander Capital, L.P. in Staten Island and Red Bank from July 11, 2024 to June 26, 2025. […]

Investors potentially experienced sales practice violations because of securities broker Henrique Lucena [CRD: 5605196, Coral Gables, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Lucena worked for UBS Financial Services Inc. from August 4, 2010 to March 21, 2017, and Morgan Stanley from March 10, 2017 to July 30, 2020. He joined Laidlaw Company (UK) […]