FINRA fined securities broker Brenton Edward Ditto [CRD: 4779103, Elizabethtown, Kentucky], and an investor complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ditto worked for LPL Financial LLC from October 30, 2014, to August 28, 2025. See the following information to find out more about Ditto’s disclosures and […]

Investors potentially experienced sales practice violations due to securities broker David Charles Heide (also known as Dave Heide) [CRD: 2112032, Palos Heights, Illinois], according to publicly available information on FINRA BrokerCheck. Evidently, David Heide has been registered with RBC Capital Markets LLC since November 1, 2016, where he works as both a broker and investment […]

PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was registered with KINGSWOOD CAPITAL PARTNERS LLC of Roseville, California, from 06/15/2018 - 06/30/2023. According to the FINRA report, on 5/13/2025, PHILLIP C ANDERSON was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and suspended in all capacities for five months by the Financial Industry Regulatory Authority (FINRA). Without […]

When producers raise capital for a film, they are launching more than a creative project – they are underwriting a commercial asset expected to perform on a Hollywood stage. Behind every marquee film poster, festival debut, or IMAX trailer is a meticulously built capital structure designed to satisfy securities law, investor-protection optics, and studio-grade lender […]

KIRK JAMES CROSSEN (KIRK J CROSSEN) was previously registered with MORGAN STANLEY of Indianapolis, Indiana, from 09/16/2016 - 05/08/2023 and most recently with RAYMOND JAMES & ASSOCIATES of Carmel, Indiana, from 04/12/2023 - 11/16/2023. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, in a “Regulatory” report dated 5/1/2025, KIRK J CROSSEN was suspended […]

RONALD G SMITH (RON G SMITH) was formerly registered with SPARTAN CAPITAL SECURITIES of New York, NY from 07/01/2013 - 12/26/2023, and most recently with SANFORD C BERSTEIN & CO of Stamford, Connecticut from 01/11/2024 – 11/10/2025, was permanently barred by FINRA with the starting date of 11/10/2025. According to the FINRA report, without admitting […]

Jacob Lee Harper (Jacob L Harper, Jake Harper) formerly registered as a broker and a financial advisor, was suspended for twenty-two months and fined $17,500.00 after FINRA alleged he borrowed thousands of dollars from clients without his firm’s knowledge and later allegedly provided false information to regulators. The “Regulatory” disclosure on BrokerCheck is dated 11/10/2025. […]

Investors potentially incurred losses because of securities broker Daniel W. Ladner [CRD: 2932904, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniel Ladner has been registered with UBS Financial Services Inc. since November 7, 2008. Read on to discover more about Daniel Ladner’s disclosures. UBS Financial Services Inc. […]

Investors apparently complained about securities broker James David Garrity [CRD: 2005714, Salt Lake City, Utah], according to public information on FINRA BrokerCheck. Evidently, Garrity has been registered with Morgan Stanley since December 7, 2015, and is based in Salt Lake City, Utah, and La Jolla, California. Continue reading to learn more about Garrity’s reported disclosures […]