Investors potentially incurred losses because of securities broker Chad Evan Polin [CRD: 4233680, Fort Washington, Pennsylvania], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polin worked for BB&T Securities LLC from January 2, 2018, to February 17, 2021, and later worked for Truist Investment Services Inc. and Truist Advisory Services […]

CAROLYN MARIE DAMMEYER (CAROLYN M DAMMEYER) has been permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. The start date of the bar was 4/16/2026. Dammeyer was registered as a broker with W&S BROKERAGE SERVICES INC of Celina, Ohio, from 07/13/2018 - 06/06/2025. The Regulatory disclosure was initiated […]

KEVIN CHRISTOPHER MCCARTHY (KEVIN C MCCARTHY) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/7/2026.  McCarthy was registered as a broker with MADISON AVENUE SECURITIES LLC of Hialeah, Florida, from 12/04/2007 - 01/30/2026. McCarthy was previously registered both as a broker […]

Investors might have sustained losses due to securities broker William H. Grant [CRD: 4219455, Duluth, Georgia], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Grant has been registered with Merrill Lynch since October 23, 2009, as both a securities broker and financial advisor. Investors are encouraged to continue reading to find […]

Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]

Investors may have suffered financial harm by securities broker Dianna Sheryl Jeffries (also known as Dianna Sheryl Friedman) [CRD: 7348577, Cary, North Carolina], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffries was registered with WS Brokerage Services Inc. from January 19, 2023, through April 8, 2026. Investors should continue reading […]

Investors potentially experienced sales practice violations by securities broker David L. Petray [CRD: 1974569, Costa Mesa, California], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Petray has worked for Syndicated Capital Inc. as a securities broker since July 6, 2001, and as a financial advisor since January 8, 2021. See below to […]

In a recent article from Financial Advisor they state that the customers of Kestra have filed a complaint against the broker/dealer with the Financial Industry Regulatory Authority’s (FINRA) arbitration service. The article states that the customers allege that one of Kestra’s representatives led them to a volatile and unsuitable exchange-traded product. Additionally, they allege he […]

Investors potentially incurred losses because of securities broker Diego Soares Bacellar [CRD: 6808326, Miami, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Diego Bacellar worked for Northwestern Mutual Investment Services LLC from April 8, 2019, to May 1, 2026. Investors are encouraged to continue reading to discover more about the disclosures involving […]