Investors apparently complained about securities broker Ronald Jay Naegle (also known as Ron Naegle) [CRD: 2054461, Johnson City, Tennessee], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ronald Naegle worked for Woodbury Financial Services Inc. from September 4, 2009, to January 19, 2024, then for Osaic Wealth Inc. from January 19, […]

Investors might have sustained losses due to securities broker Ronald Stillman Cole [CRD: 1434325, San Mateo, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cole worked for Colorado Financial Service Corporation from May 3, 2018, to February 5, 2020, Great Point Capital LLC from February 4, 2020, to March 18, […]

Investors have reportedly disputed the sales practices of securities broker Christopher Glenn Rogers [CRD: 4453653, Englewood, Colorado], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rogers has been registered with Emerson Equity LLC since May 31, 2022, and with Ridgegate Advisors LLC since September 12, 2025; previously, he was registered with […]

Investors potentially experienced sales practice violations by securities broker Igor Harlap (also known as Gary Harlap) [CRD: 3125590, Huntingdon Valley, Pennsylvania], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Harlap has been registered with UBS Financial Services Inc. since November 18, 1998, and he has also been registered as a financial […]

Investors apparently complained about securities broker Victor Michael Rodriguez [CRD: 2900010, Estero, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rodriguez was registered with Merrill Lynch from July 2, 2021, through April 19, 2023, before joining Edward Jones on April 20, 2023. Continue reading to learn more about disclosures involving Rodriguez. Edward […]

FINRA suspended securities broker Robert Wylie Goff (also known as Robert Mylie Goff and Rob Goff) [CRD: 4388671, East Lansing, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Goff worked for Wells Fargo Clearing Services LLC from October 18, 2022, to July 17, 2024, in East Lansing, Michigan, and previously for […]

EJIRO ODE OKUMA (EJ ODE OKUMA, EJIRO O OKUMA) was barred by the SEC from acting as a broker or investment advisor or otherwise associating with firms that sell securities or provide investment advice to the public. Also, FINRA barred EJIRO O OKUMA from acting as a broker or otherwise associating with a broker/dealer firm. […]

FINRA barred securities broker Anthony Tianfeng Cheng (also known as Tony Cheng) [CRD: 6242405, San Jose, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Cheng worked for Ameritas Investment Company LLC from April 2, 2015, to May 22, 2025. Keep reading to discover more about the regulatory disclosure involving […]

Investors potentially experienced sales practice violations by securities broker Timothy Graham Broyles (also known as Tim Broyles) [CRD: 5751227, Jackson, Georgia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Broyles has been registered with State Farm VP Management Corp. since February 15, 2010, and he has also been registered with State […]