One or more investors potentially experienced sales practice violations due to securities broker Robert Leroy Straight (also known as Bob Straight) [CRD: 2502075, Frisco, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Straight has worked with RBC Capital Markets LLC since January 10, 2014, serving clients from both Frisco and Lewisville, […]

Investors supposedly complained about securities broker John William Shaffer Jr. [CRD: 1800679, East Freedom, Pennsylvania], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shaffer worked for GWN Securities Inc. from January 2, 2019, and also worked with Latitude Advisors LLC as of January 3, 2019. See the following information to learn more about […]

Investors may have incurred losses because of securities broker Najat Rhoni [CRD: 5473879, New York, New York], according to publicly available information reported on FINRA BrokerCheck. Rhoni joined Dominari Securities LLC on April 16, 2023. Prior to that, she worked at Revere Securities LLC from June 14, 2021, to April 12, 2023, and Morgan Stanley […]

Investors might have sustained losses due to securities broker Gregory Michael Cash (also known as Greg Cash and Gregory Alan Cash) [CRD: 2698196, Charlotte, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Cash worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated from August 15, 1997, to January 21, 2020, […]

One or more investors potentially experienced sales practice violations because of securities broker Stanely Kent Patrick Jr. [CRD: 6087163, Valdosta, Georgia], according to publicly available information reported on FINRA BrokerCheck. Stanley Patrick worked for LPL Financial LLC from August 26, 2014, to August 16, 2019. See the following information to understand more about the disclosures […]

Investors may have incurred losses due to securities broker Yitzchak I. Prag [CRD: 7221045, Red Bank, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Yitzchak Prag worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated from November 3, 2020, to May 23, 2024. Read on to find out more about the […]

Investors potentially experienced sales practice violations because of securities broker Jeffrey Lane Werdesheim (also known as Jeffrey Lanne Werdesheim) [CRD: 1892046, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Werdesheim has worked for Oppenheimer Co. Inc. since January 3, 2003, in Los Angeles, and works for their Westlake Village, […]

Investors potentially experienced sales practice violations because of securities broker Brent Stanley Pine [CRD: 1618007, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brent Pine worked for Geneos Wealth Management Inc. from March 17, 2010, to October 8, 2021, and later joined Cetera Advisor Networks LLC from October 1, 2021, to […]

One or more investors might have sustained losses due to securities broker David Griswold Curry [CRD: 4506561, Atlanta, Georgia], based on publicly available information reported on FINRA BrokerCheck. David Curry joined Arkadios Capital on March 10, 2017. He also joined EPG Wealth Management LLC on June 3, 2019. Both firms are located in Atlanta, Georgia. […]