Jacob Lee Harper (Jacob L Harper, Jake Harper) formerly registered as a broker and a financial advisor, was suspended for twenty-two months and fined $17,500.00 after FINRA alleged he borrowed thousands of dollars from clients without his firm’s knowledge and later allegedly provided false information to regulators. The “Regulatory” disclosure on BrokerCheck is dated 11/10/2025. […]

Investors potentially incurred losses because of securities broker Daniel W. Ladner [CRD: 2932904, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniel Ladner has been registered with UBS Financial Services Inc. since November 7, 2008. Read on to discover more about Daniel Ladner’s disclosures. UBS Financial Services Inc. […]

Investors apparently complained about securities broker James David Garrity [CRD: 2005714, Salt Lake City, Utah], according to public information on FINRA BrokerCheck. Evidently, Garrity has been registered with Morgan Stanley since December 7, 2015, and is based in Salt Lake City, Utah, and La Jolla, California. Continue reading to learn more about Garrity’s reported disclosures […]

Investors have reportedly disputed the sales practices of securities broker Timothy Nathaniel Darnell [CRD: 6666469, Atlanta, Georgia], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Timothy Darnell worked for Bankers Life Securities Inc. from August 9, 2016, to September 18, 2025. Keep reading for details about the disclosures involving Timothy […]

Investors possibly experienced sales practice violations by securities broker Kevin Dauphinee [CRD: 5847437, Las Vegas, Nevada], according to public information on FINRA BrokerCheck. Evidently, Dauphinee worked for Portsmouth Financial Services from February 28, 2023, to October 18, 2023. See the following information to find out more about the disclosures related to Kevin Dauphinee. Understanding Breach […]

Investors might have sustained losses because of securities broker Leizl Manapsal Lacida (also known as Leizl Manapdal Lacida) [CRD: 6393273, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lacida worked for NYLIFE Securities LLC from April 25, 2016, to October 2, 2024. Read below to learn more about […]

Investors apparently complained about securities broker Jonathan Gabriel Gazdak [CRD: 5678294, Red Bank, New Jersey], according to publicly available information on FINRA BrokerCheck. Evidently, Gazdak has been registered with Alexander Capital L.P. since May 13, 2014. Read on for details about the disclosures involving Gazdak and the allegations raised about him. Alexander Capital L.P. Investor […]

Investors have reportedly disputed the sales practices of securities broker Adam Kennon Brown [CRD: 4905935, Jonesboro, Arkansas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brown has been registered with St. Bernard Financial Services Inc. since November 8, 2012, where he serves as both a broker and investment adviser. Investors are […]

Investors potentially experienced sales practice violations due to securities broker Robert John Gustafson [CRD: 5753473, Epping, New Hampshire], according to disclosures on FINRA BrokerCheck. Evidently, Gustafson has been registered with Moloney Securities Co. Inc. since September 18, 2015, and with Moloney Securities Asset Management LLC since March 13, 2017. See the following information to find […]