Investors apparently complained about securities broker Mark Allen Herding [CRD: 2239357, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Herding worked for Cambridge Investment Research Inc. from October 19, 2012, to February 14, 2018, and Cambridge Investment Research Advisors Inc. from November 15, 2012, to February 14, 2018. Since January 31, […]

Investors apparently complained about securities broker Mark Andrew MacArthur [CRD: 2411397, Newhall, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. MacArthur worked for Ausdal Financial Partners Inc. from November 1, 2006, to November 1, 2023, was affiliated with Criterion Wealth Management from January 2008 to August 2017, and joined […]

Investors may have suffered financial harm by securities broker Tracy Lynn Helmer (also known as Tracy Lynn Poole) [CRD: 4803908, Evansville, Indiana], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Helmer has been registered with LPL Financial LLC as a securities broker since November 12, 2012, and as a financial advisor since […]

Investors potentially experienced sales practice violations by securities broker Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors […]

Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]

Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]

Investors may have suffered financial losses related to securities broker Joshua Roy Belcher [CRD: 6106238, Wichita, Kansas], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Belcher was affiliated with Edward Jones from September 27, 2012, through May 13, 2026. Continue reading to find out more about the disclosures involving Belcher and […]

Investors apparently complained about securities broker Matthew Robert Westberry (also known as Matt Westberry) [CRD: 4908745, Marion, Iowa], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Westberry worked for SCF Securities Inc. from February 28, 2022, to October 23, 2024, and previously worked for LPL Financial LLC from August 10, 2018, to […]

Investors may have suffered financial harm by securities broker Joseph Anthony Monaco Jr. [CRD: 1398158, Melville, New York], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Monaco worked for Oppenheimer Co. Inc. from June 7, 2023, to December 6, 2024, and previously worked for Stifel Nicolaus from June 25, 2014, to […]