Investors potentially experienced sales practice violations by securities broker Francis Patrick Cunningham (also known as Fran Cunningham) [CRD: 2105075, Memphis, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cunningham worked for Stifel Nicolaus from April 4, 2025, to December 5, 2025, and later for B. Riley Wealth Management from November 14, 2025, to January 15, 2026. Keep reading to discover more about Cunningham’s disclosures and what they may mean for investors.
Specifically, on January 12, 2026, B. Riley Wealth Management disaffiliated with Cunningham. Particularly, B. Riley Wealth Management alleged that Cunningham provided false or misleading information concerning his termination at a former securities broker dealer.
Additionally, Stifel Nicolaus disaffiliated with Cunningham on November 6, 2025. Allegedly, Cunningham did not comply with order entry processes, which led the firm to cite a loss of confidence.
Evidently, on October 31, 2025, a Stifel Nicolaus client filed a complaint about Francis Cunningham. Mainly, the client alleged that Cunningham engaged in churning and made unauthorized purchases and sales of assets, including stocks and mutual funds. Because of this, the client allegedly sustained damages related to these investments. As a result, the client requested $18,469.04 in compensation from Stifel Nicolaus or Cunningham. The complaint is pending.
Do you have concerns or questions regarding investments you made with Francis Cunningham? Contact Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the United States. Also, the firm represents investors on a contingency fee basis and advances all costs. Cunningham and brokerage firms Cunningham worked for deny accusations of sales practice violations.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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