KERRIE COE (KERRIE A COBB, KERRIE COBB, KERRIE A COE, KERRIE A LEMON) is currently registered as a broker with WELLS FARGO CLEARING SERVICES, LLC, and as an investment advisor with WELLS FARGO ADVISORS, both in Indianapolis, Indiana, since 9/17/2024. She was previously listed both as a broker and financial advisor with CETERA INVESTMENT ADVISERS […]

MARIO JOSEPH PAYNE was previously registered as a broker and is currently registered as an investment advisor.Payne was previously listed as a broker with RAYMOND JAMES of Jacksonville, Florida, from 05/03/2013 - 02/12/2019. According to the SEC website, Payne is now listed as an investment advisor with TOAMS FINANCIAL of Jacksonville, Florida. According to FINRA’s […]

According to a recent article in LeapRate.com, it was reported that GTS Securities was fined a total of $150,000 by the Financial Industry Regulatory Authority (FINRA). The FINRA report lists the date initiated as February 13, 2025. FINRA said in its release that the fine is for publishing inaccurate trade execution reports and failing to maintain […]

Complaint Against WILLIAM CARL WESTCOTT The FINRA BrokerCheck report for WILLIAM CARL WESTCOTT (Bill Westcott) disclosed a complaint from an investor regarding an alleged unsuitable investment recommendation by the firm.  WILLIAM CARL WESTCOTT is a financial advisor/broker based in Tucson, Arizona, and is registered with LPL Financial as both a broker and an investment advisor. […]

Soreide Law Group, based in South Florida, has filed a FINRA arbitration on behalf of their client (Claimant) against: CONCORDE INVESTMENTS SERVICES, LLC. (Respondent) The Claimant resides in Southwest Florida and maintained a relationship with CONCORDE INVESTMENTS SERVICES and its Financial Advisor, Bart Harrison. The lawsuit alleges that CONCORDE INVESTMENTS SERVICES and Bart Harrison understood […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Scott Lerner (CRD#: 1883553, Hauppauge, New York). Lerner has over 33 years of experience in the securities industry and has been associated with multiple firms, including Madison Global Partners LLC and Network 1 Financial Securities Inc. Recent disclosures highlight regulatory actions and client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Cara Michelle Miller (also known as Cara M. Miller, Cara Michelle Smith) [CRD#: 4521819, Rapid City, SD]. Miller previously worked as a broker at multiple firms, including ProEquities Inc. from May 2006 to September 2020. She is currently registered as an investment adviser with […]

John Nicholas Matson Formerly of LPL Financial John N Matson, a former financial advisor, was associated with LPL Financial LLC of Manhattan Beach, California, from 2007 to 2015 and 2017 to 2022. Prior to returning to LPL FINANCIAL LLC, he was affiliated with Ameriprise Financial Services, Inc. of Los Angeles, California from 2015 to 2017, […]

Mark C Creason, according to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, is currently a broker with Metric Financial, LLC of Atlanta.  Creason has been employed with Metric Financial since October 16, 2023. Mark C Creason was previously listed as a broker with Emerson Equity LLC of Temecula, California from March […]