One or more investors possibly experienced losses because of securities broker Terry Sloan Thompson (also known as T. Sloan Thompson) [CRD: 2588490, Savannah, Georgia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terry Thompson worked for Truist Investment Services Inc. from February 17, 2021 to March 21, 2024, and for BB&T Securities LLC […]

Investors reportedly complained about securities broker Tony Alan Tolene [CRD: 5730068, Harrisburg, Pennsylvania], according to publicly available information reported on FINRA BrokerCheck. Tony Tolene worked for Infinity Financial Services from October 19, 2016 to June 27, 2025. Keep reading to know more about Tony Tolene’s disclosures and the nature of the client allegations brought against […]

Investors potentially experienced sales practice violations due to securities broker Anthony Stephen Jovanovich (also known as Tony Jovanovich) [CRD: 2948544, Elgin, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Jovanovich worked for Wintrust Investments LLC from June 1, 2012 to January 23, 2025. He currently works for LPL Financial LLC as […]

FINRA barred securities broker Michael Edwin Magruder [CRD: 4579211, Orlando, Florida] and investors complained about him, based on public information reported on FINRA BrokerCheck. Magruder worked for Raymond James Associates Inc. from July 1, 2021 to August 2, 2024, and previously for Merrill Lynch from August 21, 2015 to July 2, 2021. See the following […]

From Vinyl to Token Ledgers Atkins described the migration from traditional securities ledgers to blockchain platforms, highlighting the potential of tokenized securities, as reminiscent of music’s transition from analog to digital. Just as digitization revolutionized how music is consumed—from vinyl to streaming. Converting securities into digital tokens could reshape how they’re created, traded, and utilized. […]

Being audited by the IRS? Did your broker sell you a conservation easement that the IRS is now investigating? Did you get hit with interest, penalties and fines? If your financial advisor sold you a conservation easement without disclosing these risks they may be liable for your losses. Soreide Law Group has filed several conservation […]

Investors apparently complained about securities broker Raymond Michael Congelosi (also known as Mike Congelosi) [CRD: 1879030, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. since May 25, 2017, Raymond Congelosi has worked as both an investment adviser and broker for MML Investors Services LLC in West Hartford, Connecticut. See the […]

One or more investors potentially experienced sales practice violations because of securities broker Brian Wayne Napier [CRD: 4555202, Greenwood, Indiana], based on publicly available information reported on FINRA BrokerCheck. Napier has worked with Ausdal Financial Partners Inc. since September 18, 2013, where he serves both as a broker and an investment adviser. Read on to […]

Investors may have incurred losses due to securities broker Teddy R Ezzell III [CRD: 1527524, Fort Collins, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ezzell has worked with LPL Financial LLC since December 15, 2014, and with Western Wealth Management LLC since June 22, 2016. Below, you can learn more about […]