Investors might have sustained losses due to securities broker Richard G. Michalski [CRD: 4588706, New York, New York], according to disclosures on FINRA BrokerCheck. Evidently, Michalski has worked for Laidlaw Company (UK) Ltd. since October 27, 2010. Below, you can find important information about what investors allege took place. Michalski Involved In Investor Dispute Regarding […]

FINRA barred securities broker Edgar Sarkis Shanoyan [CRD: 6355599, Rutherford, New Jersey] and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Shanoyan worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 27, 2016, to October 19, 2023. Keep reading to learn more about the […]

Investors might have sustained losses due to securities broker Daniel Tuan Kien Loy (also known as Tuan Loy) [CRD: 3029654, Milpitas, California], according to disclosures on FINRA BrokerCheck. Evidently, Daniel Loy has worked with Independent Financial Group LLC following his registration with Voya Financial Advisors. Check out the following information about the disclosures involving this […]

BETSY LOU WHIPPLE (BETSY L WHIPPLE, BETSY WHIPPLE) has been registered both as a broker and financial advisor since 6/14/2024 with OSAIC WEALTH INC. of Hiko, Nevada.Before Osaic Wealth, Whipple was registered with SECURITIES AMERICA ADVISORS, INC of Hiko Nevada from 05/15/2024 - 06/14/2024, and previously Whipple was with NEWBRIDGE FINANCIAL SERVICES GROUP, INC. of […]

Investors possibly experienced sales practice violations because of securities broker Christopher Mark DiBari (also known as Chris DiBari) [CRD: 3012315, Milford, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DiBari worked for PNC Investments from July 14, 2011, to the present. Below, you can find important information about the disclosures involving this […]

Investors potentially experienced losses because of securities broker Todd Ryan Blessing [CRD: 4369846, Cincinnati, Ohio], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Todd Blessing worked for CUSO Financial Services L.P. from October 19, 2011, to May 15, 2025, and is currently working with LPL Financial LLC as of May […]

FINRA barred securities broker Jordan Paul Meadow [CRD: 6116538, New York, New York] and an investor disputed his sales practices, according to disclosures on FINRA BrokerCheck. Meadow previously worked for Spartan Capital Securities LLC from July 27, 2018, to June 28, 2023, and before that, for Newbridge Securities Corporation from March 27, 2017, to July […]

The South Florida-based Soreide Law Group has been contacted by investors, particularly those who had been recommended GWG L-bonds from the former NEWBRIDGE SECURITIES CORPORATION of Boca Raton, Florida, broker, PETER LEWIS GOFFIN (PETER L GOFFIN).  Goffin was previously registered both as a broker and as an investment advisor.  PETER L GOFFIN was with NEWBRIDGE […]

FINRA barred securities broker Joseph Michael Cannon (also known as Joe Cannon) [CRD: 6341199, Chicago, Illinois] and a client complained about him, according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cannon worked for Northwestern Mutual Investment Services LLC from April 16, 2016, to September 11, 2024. Below, you can find important […]