Investors apparently complained about securities broker Joseph Brian Glaze (also known as J. Brian Glaze) [CRD: 5373140, Graham, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Glaze previously worked for LPL Financial LLC from December 14, 2012, to September 2, 2022; Avantax Investment Services Inc. and Avantax Advisory Services from September 1, 2022, to September 5, 2025; and IFG Advisory LLC from February 23, 2015, to September 1, 2022, before joining Cetera Wealth Services LLC and Cetera Investment Advisers LLC on September 5, 2025. Read below to discover more about Glaze’s disclosures.
Particularly, an LPL Financial LLC client filed FINRA Arbitration No. 24-01163 about Joseph Glaze. Primarily, the client alleged that Glaze made unsuitable recommendations. For this reason, the client allegedly incurred damages associated with structured products. As a result, on June 4, 2025 LPL Financial LLC settled this matter by paying the client $200,000 in damages.
Notably, a client of LPL Financial LLC disputed Joseph Glaze’s sales practices by filing FINRA Arbitration No. 23-00805. Allegedly, Glaze made unsuitable recommendations. It appears that Glaze allegedly caused the client to sustain damages on structured products. Consequently LPL Financial LLC opted to settle the matter on August 27, 2024, by compensating the client in the amount of $250,000.
Did you experience losses because of Joseph Glaze? You can contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Glaze and brokerage firms Glaze worked for deny allegations of sales practice violations.
Investors might have sustained losses due to securities broker William H. Grant [CRD: 4219455, Duluth, Georgia], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Grant has been registered with Merrill Lynch since October 23, 2009, as both a securities broker and financial advisor. Investors are encouraged to continue reading to find […]
Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]
Investors may have suffered financial harm by securities broker Dianna Sheryl Jeffries (also known as Dianna Sheryl Friedman) [CRD: 7348577, Cary, North Carolina], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffries was registered with WS Brokerage Services Inc. from January 19, 2023, through April 8, 2026. Investors should continue reading […]
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