Investors reportedly complained about securities broker Stephen Berrocal (also known as Steve Berrocal) [CRD: 3071400, Coral Gables, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Berrocal joined Truist Investment Services Inc. on August 2, 2013, and Truist Advisory Services Inc. on August 24, 2016. See the following information to find out more […]

Investors might have sustained losses due to securities broker Michael Steven Yarus [CRD: 1543852, Paramus, New Jersey], according to public information reported on FINRA BrokerCheck. Michael Yarus worked for Wells Fargo Clearing Services LLC from May 24, 2012 to February 13, 2023, and most recently for Carter, Terry Company Inc. from February 21, 2023 to […]

Investors potentially experienced sales practice violations because of securities broker Lorraine Henry Geiss (also known as Lori Henry Geiss and Lorraine Marie Henry) [CRD: 1982429, Milwaukee, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lorraine Geiss worked for MML Investors Services LLC from March 25, 2017 to June 18, 2019. Keep reading […]

Investors may have incurred losses due to securities broker Edward Alfred Baroncini Jr. [CRD: 3043354, Bradenton, Florida], based on publicly available information found on FINRA BrokerCheck. Edward Baroncini joined LPL Financial LLC on December 11, 2014, and Excel Wealth Management LLC on January 28, 2019. See the following information to find out more about the […]

FINRA barred securities broker Timothy Fleming Jefferson (also known as Tim Jefferson) [CRD: 5004750, Brentwood, Tennessee], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jefferson worked for Aegis Capital Corp. from February 14, 2024 to May 16, 2024, and for Ameriprise Financial Services LLC from August 16, 2013 […]

Investors reportedly complained about securities broker Derrick Timothy Watts [CRD: 2479608, Chicago, Illinois], according to public information reported on FINRA BrokerCheck. Derrick Watts joined Packerland Brokerage Services Inc. in Chicago, Illinois as both a securities broker and a financial advisor in January 2020. Before that, Watts worked with B. Riley Wealth Management in St. Charles, […]

Investors reportedly complained about securities broker Christopher Thomas Brothers (also known as Chris Brothers) [CRD: 2186156, Fort Lauderdale, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Brothers joined Maxim Group LLC on November 18, 2009. See the following information to find out more about the disclosures related to Brothers and the […]

Investors potentially experienced sales practice violations because of securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to publicly available information reported on FINRA BrokerCheck. Craig Thistlethwaite worked for Morgan Stanley from June 1, 2009 to February 16, 2023. Read below to learn more about the regulatory action taken against Thistlethwaite. FINRA Fined Craig […]

Investors may have incurred losses due to securities broker Stuart Jay Spivak [CRD: 1883651, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Spivak joined Centaurus Financial Inc. on May 29, 2008, as a securities broker and on June 16, 2008, as a financial advisor. Keep reading to understand more about the […]