One or more investors possibly experienced losses due to securities broker Patrick Roland Hobert [CRD: 805680, Newport Beach, California], according to public information reported on FINRA BrokerCheck. Patrick Hobert joined Centaurus Financial Inc. on July 9, 2007, serving in both securities broker and financial advisor roles. Read below to understand more about the client complaints […]

Investors potentially experienced sales practice violations because of securities broker Marc Gregory Minor [CRD: 2230271, East Peoria, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marc Minor worked for Woodbury Financial Services Inc. from April 23, 2003 to January 19, 2024. As of January 19, 2024, he works for Osaic Wealth Inc. […]

Investors may have incurred losses due to securities broker Scott Lawrence Olson [CRD: 711256, Melbourne, Florida], according to publicly available information found on FINRA BrokerCheck. Olson joined Innovation Partners LLC on July 13, 2021, and IP Financial Advisory Services LLC on July 14, 2021. He previously worked for firms including Atlantic Financial Advisors LLC, Independent […]

Investors reportedly complained about securities broker Nikolai Taylor (also known as Nik Taylor) [CRD: 2510427, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nikolai Taylor worked for Merrill Lynch from January 29, 2015 to October 3, 2022, and joined Morgan Stanley on September 30, 2022. Keep reading to learn […]

One or more investors possibly experienced losses because of securities broker Gregory Malcolm McLeod (also known as Greg McLeod) [CRD: 2741097, Boca Raton, Florida], based on public information reported on FINRA BrokerCheck. Gregory McLeod joined Newbridge Securities Corporation on January 17, 2002. See the following information to find out more about the disclosures involving McLeod. […]

Investors potentially experienced sales practice violations due to securities broker George John Cairnes (also known as George Cairnes) [CRD: 4068906, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. George Cairnes worked for Wells Fargo Clearing Services LLC from January 3, 2011 to July 24, 2023, and later at Chelsea Financial Services […]

Investors may have incurred losses because of securities broker Jason James Walsh [CRD: 5758243, Fort Lauderdale, Florida], according to publicly available information found on FINRA BrokerCheck. Jason Walsh worked for PHX Financial Inc. from June 3, 2022 to June 24, 2024; Network 1 Financial Securities Inc. from May 12, 2020 to May 25, 2022; Joseph […]

Investors reportedly complained about securities broker Stephen Berrocal (also known as Steve Berrocal) [CRD: 3071400, Coral Gables, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Berrocal joined Truist Investment Services Inc. on August 2, 2013, and Truist Advisory Services Inc. on August 24, 2016. See the following information to find out more […]

Investors might have sustained losses due to securities broker Michael Steven Yarus [CRD: 1543852, Paramus, New Jersey], according to public information reported on FINRA BrokerCheck. Michael Yarus worked for Wells Fargo Clearing Services LLC from May 24, 2012 to February 13, 2023, and most recently for Carter, Terry Company Inc. from February 21, 2023 to […]