Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Gary Sauve [CRD: 411499, Bismarck, North Dakota]. Sauve worked for Centaurus Financial Inc. from June 4, 2015, to March 9, 2021. Sauve has faced client disputes, with allegations ranging from unsuitable investment recommendations to breaches of fiduciary duty. Continue reading to learn more about […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Garrett Wayne Moretz [CRD: 4086791, Mooresville, North Carolina]. Moretz joined LifeMark Securities Corp. on May 31, 2017. Investors and SEC have raised concerns regarding Moretz’s conduct, leading to allegations of misrepresentation, unsuitable recommendations, and negligence. Continue reading to learn more about the disclosures. SEC […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Douglas Cy Waisner [CRD: 1280998, Westlake Village, California]. Evidently, Waisner joined Western International Securities Inc. on May 27, 2008, and worked for Financial West Group from January 1, 2005, to March 20, 2013. Keep reading to learn more about client disputes that contain allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals details about securities broker Donald Leo Hansen Jr. [CRD: 3207894, San Francisco, California]. Hansen worked at Merrill Lynch from October 23, 2009, to March 22, 2024. Disclosures on BrokerCheck show allegations against Hansen stemming from his involvement with customers. Those allegations include unauthorized and excessive trading in client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Dan Edward Droeg (also known as Dan Edwards Droeg) [CRD: 1509210, Mesa, Arizona]. Droeg worked for United Planners Financial Services of America from August 12, 2021, to October 11, 2021, and previously worked for firms such as H. Beck and Sagepoint Financial. Keep reading […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Collins D. Bhola [CRD: 6533629, Melville, New York]. Bhola worked for NYLIFE Securities LLC from November 22, 2016, to April 29, 2024. Recently, a FINRA investigation was initiated to explore the circumstances behind his termination from the securities firm and any potential violations of […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disciplinary actions involving securities broker Cladius Olaniran Tokunboh [CRD: 6058294, Lewisville, Texas]. Tokunboh worked for TIAA-CREF Individual and Institutional Services LLC from July 28, 2015, to July 14, 2022. FINRA investigated Tokunboh for potential undisclosed outside business activities during his employment at TIAA-CREF. Keep reading to learn more […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Stephen Stocks [CRD: 2600346, Paradise Valley, Arizona]. Stocks has a lengthy employment history, including working for Morgan Stanley DW Inc. from 2009 to 2021, and working for Prospera Financial Services Inc. since 2022. However, Stocks has been involved in client disputes and regulatory […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Caz Craffy (also known as Carz Levinski Craffey) [CRD: 5222223, Point Pleasant Beach, New Jersey]. Craffy worked for Newbridge Securities Corporation from May 2017 to March 2021 and with Monmouth Capital Management LLC from April 2021 to November 2022. Keep reading to learn more […]