Investors apparently complained about securities broker Harry Allan Horn [CRD: 1031140, Lutherville, Maryland], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Harry Horn worked for Lincoln Financial Advisors Corporation from June 4, 1982, to April 22, 2022. Below, you can learn more about the disclosures involving Harry Horn, including serious allegations […]

Investors potentially experienced sales practice violations because of securities broker Michael Castillo Campos [CRD: 5516057, Lexington, South Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Campos works with D.A. Davidson & Co. in Lexington, South Carolina, having joined the firm on October 24, 2022. Previously, Campos worked at Truist Advisory Services Inc. […]

Were you a client of WILLIAM ROBERT YOUNG (BILL YOUNG, WILL R YOUNG) and were recommended purchasing GWG L Bonds or Spring Hill Holdings? Currently Young is registered both as an investment advisor and as a broker with AMERIPRISE FINANCIAL SERVICES, LLC of Gaithersburg, Maryland since 10/16/2023.  WILL R YOUNG was previously registered as an […]

One or more investors may have incurred losses due to securities broker James B. Dorney [CRD: 2997467, New Haven, Connecticut], according to publicly available information reported on FINRA BrokerCheck. James Dorney has worked with UBS Financial Services Inc. in New Haven and Milford, Connecticut, since March 27, 2009. See the following information to understand more […]

FINRA barred securities broker Robert Joseph Ornelas [CRD: 5973762, Los Angeles, California], based on disclosures on BrokerCheck. Robert Ornelas worked for Northwestern Mutual Investment Services LLC from July 31, 2012, to February 6, 2023. Read on to find out more the regulatory disclosure involving this broker and what it could mean for investors. FINRA Sanctioned […]

Investors might have sustained losses because of securities broker Christopher Todd Robinson (also known as Chris Robinson) [CRD: 2582006, Argyle, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Robinson has worked with LPL Financial LLC since February 14, 2018, and has also been associated with RFG Wealth Advisory since May 5, […]

Investors may have incurred losses due to securities broker Robert John Leverte III (also known as Bob Leverte) [CRD: 2283504, Atlanta, Georgia], based on publicly available information reported on FINRA BrokerCheck. Robert Leverte III has worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated since September 8, 2006, at its Atlanta, Georgia office, and since […]

MORGAN STANLEY (Respondent) recently had a FINRA arbitration filed against them by customers of DEREK MICHAEL JOHNSON. The Claimants, who reside in California, maintained accounts with the Respondent and their registered representative, DEREK MICHAEL JOHNSON (DEREK M JOHNSON). Johnson is not named in the lawsuit. The lawsuit alleges that the Claimants did not wish to speculate with their savings […]

ALI BARRY MAHLOOJI is currently registered as a broker with PHX FINANCIAL, INC., in New York, NY.  Mahlooji has been with PHX FINANCIAL since 12/16/2019.  He was previously registered with NATIONAL SECURITIES CORPORATION in Jersey City, New Jersey from 11/20/2012 - 12/17/2019. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ALI BARRY […]