One or more investors possibly experienced losses due to securities broker Thaddaeus Daniel Allen [CRD: 5644772, Topeka, Kansas], according to disclosures on FINRA BrokerCheck. Notably, Allen worked for Edward Jones from April 14, 2009 to August 15, 2022, and is currently registered with Smith Moore Co. as of August 12, 2022. Keep reading to find […]

Investors apparently complained about securities broker Kenneth Cecil Sledge Jr. [CRD: 824533, Nashville, Tennessee], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sledge joined Osaic Wealth Inc. on January 24, 2025. Prior to that, he worked for Osaic FA Inc. in Nashville, Tennessee, from April 14, 1988, through January 24, 2025. Read the […]

Investors potentially experienced sales practice violations because of securities broker Amy Nuttall Zwaan (also known as Amy Elizabeth Nuttall) [CRD: 4857906, Clovis, California], according to publicly available information on FINRA BrokerCheck. It appears that Nuttall Zwaan worked for LPL Financial LLC from November 14, 2022 to May 29, 2024. He works with Alexander Capital, L.P. […]

Investors might have sustained losses due to securities broker April Marie Wilson (also known as April Marie Forsman) [CRD: 4515321, Bellevue, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wilson worked for Hornor Townsend Kent LLC from August 30, 2006 to November 2, 2020, and joined Osaic Wealth Inc. on October […]

Investors might have sustained losses because of securities broker Huanwei Huang (also known as Andy Huang) [CRD: 3268328, Brooklyn, New York], according to disclosures on FINRA BrokerCheck. Notably, Huang joined Glendale Securities Inc. on November 2, 2005. Keep reading to find out more about the disclosures concerning Huanwei Huang. Glendale Securities Investor Accused Andy Huang […]

Investors reportedly complained about securities broker Adam Edward Brunin [CRD: 4407663, Fort Collins, Colorado], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Brunin worked for Sigma Financial Corporation from November 8, 2005 to February 22, 2016. He is President of Navigation Wealth Management Inc. as of February 2016, and […]

Investors potentially experienced sales practice violations due to securities broker Donald Wells (also known as Don Wells) [CRD: 1217316, Seattle, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Wells worked for Titan Securities from March 4, 2010 to June 30, 2023, and is currently registered with Realta Equities Inc. in Wilmington, Delaware, and Realta Investment […]

One or more investors possibly experienced losses because of securities broker Albert Chen [CRD: 5996821, Raleigh, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Chen worked for LPL Financial LLC from April 15, 2015 to March 24, 2020, and for Merrill Lynch from November 12, 2012 to April 16, 2015. […]

Investors might have sustained losses due to securities broker Mark C. Creason [CRD: 6617847, Atlanta, Georgia], according to publicly available information on FINRA BrokerCheck. Creason joined Metric Financial LLC on October 16, 2023. Before that, he worked for Emerson Equity LLC from March 22, 2019 to October 12, 2023, and by Colorado Financial Service Corporation […]