Investors might have sustained losses because of securities broker Brian Cantel [CRD: 1743229, Flowery Branch, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cantel has been registered with Berthel Fisher Company Financial Services Inc. since January 3, 2006, and also worked as an investment adviser with the same firm beginning […]

Investors apparently complained about securities broker Timothy Richard Yee [CRD: 2492578, Alameda, California], according to publicly available information on FINRA BrokerCheck. Evidently, Yee has been registered with Independent Financial Group LLC since July 8, 2015, and previously worked for LPL Financial LLC from May 30, 2014, to June 10, 2015. See the following summary for […]

Investors have reportedly disputed the sales practices of securities broker Kyle Mitchell McLaughlin [CRD: 2614967, Cincinnati, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McLaughlin worked for Morgan Stanley from September 23, 2013, to August 27, 2024, and currently works for RBC Capital Markets LLC since August 22, 2024. Read below […]

Investors potentially experienced sales practice violations due to securities broker James John Raia [CRD: 2397301, Ridgewood, New York], according to public information on FINRA BrokerCheck. Evidently, Raia worked for Moloney Securities Co. Inc. from February 1, 2018, to June 4, 2025, and is currently registered with Emerson Equity LLC in Irvine, California, since May 7, […]

Investors potentially incurred losses because of securities broker Eduardo Leon Jr. [CRD: 2232647, Houston, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Leon has been registered with Global Financial Services, L.L.C. since July 12, 1994, serving clients through the firm’s Houston office. Keep reading for details about the disclosures […]

FINRA barred securities broker Ian A. Geeves [CRD: 5328479, Carlsbad, California], and an investor complained about him, according to disclosures on FINRA BrokerCheck. Evidently, Ian Geeves worked for Vanderbilt Securities LLC from February 15, 2022, to November 16, 2023, and for LPL Financial LLC from November 15, 2017, to January 14, 2022. Continue reading to […]

Investors have reportedly disputed the sales practices of securities broker Michael Jerome Lickiss Jr. [CRD: 5135936, Danville, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Lickiss worked for Purshe Kaplan Sterling Investments from July 3, 2024, to January 13, 2025; Arkadios Capital from December 6, 2021, to July 5, […]

LINCOLN LUCAS MASON (LINCOLN L MASON) formerly of Edward Jones of Arnolds Park, Iowa, from 03/29/2019 - 12/23/2021, was suspended for 90 days and fined $5,000.00 by FINRA. Mason was previously registered both as an investment advisor and as a broker.  According to the FINRA report, without admitting or denying FINRA’s findings, LINCOLN L MASON […]

Investors possibly experienced sales practice violations by securities broker Joseph Frederick Eschleman (also known as Joe Eschleman) [CRD: 3237843, Sacramento, California], according to publicly available information on FINRA BrokerCheck. Evidently, Eschleman has been registered with Purshe Kaplan Sterling Investments since August 10, 2017, and with Towerpoint Wealth LLC since May 30, 2017. Read below for […]