Investors might have sustained losses because of securities broker Reynold Wayne Neufeld (also known as Rey Neufeld) [CRD: 827427, Indio, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Neufeld worked for Centaurus Financial Inc. from May 16, 2008, to July 9, 2021. See the following summary for details about Neufeld’s […]

Investors apparently complained about securities broker Walter Vincent Nelson (also known as Vince Nelson) [CRD: 2275929, Overland Park, Kansas], according to disclosures on FINRA BrokerCheck. Evidently, Walter Nelson worked for Arete Wealth Management LLC in Chicago, Illinois, and Arete Wealth Advisors LLC in Rockwall, Texas, from July 17, 2020, to May 1, 2025. He is […]

Investors have reportedly disputed the sales practices of securities broker David Ray Loesch [CRD: 2380024, Katy, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Loesch has been registered with NewEdge Securities LLC since July 7, 2017. Read on to learn more about the disclosures concerning Loesch’s conduct and the […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: WESTPARK CAPITAL, INC., and their former registered representative, DAVID BERNARD LEVINSON (DAVID B LEVINSON) (Respondents). The Claimant is retired and living in Los Angeles, California. On or about November of 2019, as the Claimant was nearing retirement, he liquidated a […]

FINRA barred securities broker Anthony George Saab (also known as AG Saab) [CRD: 408501, Dallas, Texas], and an investor complained about him, according to public information on FINRA BrokerCheck. Evidently, Saab worked for The Fig Group LLC from June 9, 2005, to November 1, 2022, and later for Sunbelt Securities Inc. from September 9, 2022, […]

Investors potentially incurred losses because of securities broker Michael Cheng Ning (also known as Makoto Ning) [CRD: 1229733, Scottsdale, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ning worked for Arque Capital, Ltd. from December 21, 2005, to June 16, 2023. Continue reading to find out more about the disclosures involving […]

Investors apparently complained about securities broker Thomas Abbitt Jenkins Jr. (also known as Tom Jenkins) [CRD: 2562513, Houston, Texas], according to publicly available information on FINRA BrokerCheck. Evidently, Thomas Jenkins has been registered with UBS Financial Services Inc. in Houston, Texas since September 7, 2010, where he also serves as an investment adviser representative since […]

Investors have reportedly disputed the sales practices of securities broker Richard Michael Ciraco [CRD: 825969, New York, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ciraco has worked for J.P. Morgan Securities LLC since June 6, 2002, and has also been registered as an investment adviser with the same […]

Investors possibly experienced sales practice violations by securities broker Edward Boyd Stephens [CRD: 4324797, Greensboro, North Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Stephens worked for Raymond James Financial Services Inc. from May 23, 2016, to November 11, 2024, and has been affiliated with 1808 Capital Partners as Partner and Director of Financial Planning […]