Investors might have sustained losses due to securities broker John Mickelson [CRD: 2628700, Logan, Utah], according to disclosures on FINRA BrokerCheck. Specifically, Mickelson worked for Cambridge Investment Research Inc. from October 19, 2012 to December 31, 2022, and for Crown Capital Securities, L.P. from January 3, 2023 to March 12, 2024. He joined CreativeOne Securities […]

One or more investors possibly experienced losses because of securities broker Jie Zheng [CRD: 4187935, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zheng previously worked for Allied Millennial Partners LLC from January 17, 2014 to January 3, 2020. Read the following sections to know more about Zheng’s client […]

FINRA barred securities broker Glenn Ngo [CRD: 7200876, San Diego, California], according to public information on FINRA BrokerCheck. Notably, Ngo worked for Park Avenue Securities LLC from March 22, 2023 to March 4, 2025, and Northwestern Mutual Investment Services LLC from February 11, 2022 to March 21, 2023. Read on to learn more about the […]

Investors might have sustained losses due to securities broker Joanna Wang (also known as Jian Wang) [CRD: 4056171, Fort Mill, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Wang worked for Pruco Securities LLC from July 22, 2002 to November 14, 2024, and joined LPL Enterprise LLC on […]

Investors potentially experienced sales practice violations because of securities broker Paul Andrew Valdivia [CRD: 6045337, Greenville, South Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Valdivia joined Fidelity Brokerage Services LLC on June 5, 2012, and works as a financial advisor at Strategic Advisers LLC as of March 31, 2025. His previous employment includes Fidelity […]

CHUCK A ROBERTS, formerly registered with STIFEL, NICOLAUS & COMPANY, INCORPORATED of New York, NY, from 03/01/2016 - 07/09/2025, was permanently barred by FINRA, according to FINRA’s BrokerCheck, on 7/16/2025.  According to the FINRA report, without admitting or denying FINRA’s findings, CHUCK A ROBERTS consented to the sanction and to the entry of findings that […]

FINRA barred securities broker Linda Lucille Sokol Francis (also known as Linda Gundelach) [CRD: 811073, Brookfield, Illinois], and investors complained about her, according to disclosures on FINRA BrokerCheck. It appears that Sokol Francis worked for Waddell Reed from August 14, 1975 to July 21, 2021, and then for LPL Financial LLC from July 21, 2021 […]

Investors might have sustained losses due to securities broker Frank John Ward [CRD: 1621434, Omaha, Nebraska], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ward joined Raymond James Financial Services Inc. on June 17, 2015, and Raymond James Financial Services Advisors Inc. on June 19, 2015. Read the following sections to learn […]

One or more investors possibly experienced losses due to securities broker Daniel Silverberg (also known as Dan Silverberg and Danny Silverberg) [CRD: 1576956, Margate City, New Jersey], according to public information on FINRA BrokerCheck. Notably, Silverberg worked for UBS Financial Services Inc. from July 22, 2021, and worked for Morgan Stanley from March 23, 2012 […]