FINRA barred securities broker Mohammed Arif Salim [CRD: 7126671, New York, New York], according to publicly available information on FINRA BrokerCheck. It appears that Mohammed Salim worked for Morgan Stanley from November 18, 2022 to November 5, 2024, and Charles Schwab Co. Inc. from December 2, 2021 to November 15, 2022. Read the following sections […]

Investors might have sustained losses because of securities broker Danny Kay Davis [CRD: 853374, Omaha, Nebraska], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Davis worked for Stifel Nicolaus Company Incorporated from March 5, 2009 to June 24, 2025. Read on to know more about the nature of the investor […]

Investors potentially experienced sales practice violations because of securities broker Gary Lee Leavitt [CRD: 712745, Whiting, Indiana], according to disclosures on FINRA BrokerCheck. Gary Leavitt worked for American Trust Investment Services Inc. from June 8, 2021 to February 14, 2025; McDermott Investment Services LLC from December 7, 2018 to October 22, 2020; and previously from […]

Investors may have incurred losses because of securities broker Michael Walden Brinton (also known as Mike Brinton) [CRD: 1565431, Brentwood, Tennessee], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brinton worked for Zermatt Securities Inc. from November 14, 2019 to November 10, 2020, and Cary Street Partners from February 12, 2016 […]

Investors reportedly complained about securities broker Eyal Farag (also known as Al Farag and as Alan Farag) [CRD: 3072211, Melville, New York], based on disclosures on FINRA BrokerCheck. Eyal Farag worked for Aegis Capital Corp. from September 8, 2014 to January 20, 2023. See the following information to know more about the securities broker’s disclosures. […]

One or more investors possibly experienced losses due to securities broker Christopher Tito Jumalon II [CRD: 6584031, Sandy Springs, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Jumalon worked for Navy Federal Investment Services LLC from October 7, 2019 to August 8, 2024, and for Wells Fargo Clearing […]

Investors potentially experienced sales practice violations because of securities broker Alfred Gerald Block (also known as Archie Block) [CRD: 1192064, Little Silver, New Jersey], according to disclosures on FINRA BrokerCheck. Block joined Buckman Buckman Reid Inc. on February 10, 2017. Read below to learn more about the disclosures involving this broker and the investments that […]

Investors may have incurred losses because of securities broker Michael Alan Robertson [CRD: 1634076, Greensboro, North Carolina], based on public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Robertson worked for Morgan Stanley from June 1, 2009 to January 9, 2025. See the following information to find out more about the securities broker’s […]

Investors might have sustained losses because of securities broker Wendell Holmes Trapp III (also known as Trey Trapp) [CRD: 6177720, Belden, Mississippi], according to disclosures on FINRA BrokerCheck. Wendell Trapp worked for Edward Jones from March 7, 2017 to March 5, 2024, and for San Blas Securities LLC from May 10, 2024 to June 10, […]