Investors apparently complained about securities broker Christine Michelle Amato [CRD: 1048739, San Diego, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, Christine Amato worked for TD Ameritrade Inc. from January 12, 2016 to December 31, 2022, and for Charles Schwab Co. Inc. from January 26, 2022 to July 19, 2025. Read […]

Investors potentially experienced sales practice violations because of securities broker Kendal Ashley Fordham (also known as Kendal Ashley Cann) [CRD: 6504618, Jacksonville, Florida], according to publicly available information on FINRA BrokerCheck. Notably, Fordham worked for Raymond James Financial Services Inc. from March 29, 2017 to February 12, 2019. Below, you can learn more about Fordham’s […]

Investors might have sustained losses due to securities broker Eric Delaney [CRD: 2886715, Mount Laurel, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Eric Delaney worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. from February 22, 2010 to November 6, 2024, before joining LPL […]

One or more investors possibly experienced losses because of securities broker Javier Martin-Riva [CRD: 6706706, Miami, Florida], according to disclosures on FINRA BrokerCheck. Particularly, Javier Martin-Riva joined Bulltick LLC on March 18, 2019, and Bulltick Wealth Management LLC on May 6, 2019. Read the following sections to learn more about the allegations involving this broker […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: EDWARD JONES. The Claimant is in her mid-sixties and resides in Texas. The Claimant maintained brokerage accounts with EDWARD JONES and their former registered representative, Reuben Lamont Brown (Reuben L Brown). Brown was an employee and registered representative of EDWARD […]

Investors reportedly complained about securities broker Hector Francisco Villaescusa [CRD: 4185707, Miami, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Villaescusa joined Bulltick LLC in Miami, Florida on August 1, 2019, and Bulltick Wealth Management LLC in Hermosillo on October 20, 2022. Read on to find out more about the […]

Investors potentially experienced sales practice violations due to securities broker Kelley Susan Slaught (also known as Kelley Smith) [CRD: 1126586, Santa Barbara, California], according to disclosures on FINRA BrokerCheck. It appears that Slaught joined Centaurus Financial Inc. on November 21, 2012, as a securities broker and on January 9, 2013, as a financial advisor. Below, […]

Investors might have sustained losses because of securities broker James W. Maurer [CRD: 4971613, Hauppauge, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, James Maurer worked for Laidlaw Company (UK) Ltd. from November 13, 2015 to June 6, 2019, before joining Network 1 Financial Securities Inc. on May 21, 2019. […]

Investors might have sustained losses due to securities broker Kenneth Thomas Shotsberger (also known as Ken Shotsberger) [CRD: 6186517, Deerfield, Illinois], according to publicly available information on FINRA BrokerCheck. Notably, Kenneth Shotsberger worked for Equitable Advisors LLC from September 8, 2017 to April 29, 2024. Keep reading to find out more about the securities broker’s […]