Investors potentially experienced sales practice violations because of securities broker Kurt Edward Stahl [CRD: 1890827, Sarasota, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kurt Stahl worked for Berthel Fisher Company Financial Services Inc. from November 25, 2014, to March 23, 2017, and has been registered as an investment adviser with […]

One or more investors apparently complained about securities broker Doran Calvin James [CRD: 1764628, Rock Springs, Wyoming], according to publicly available disclosures on FINRA BrokerCheck. It appears that James worked for LPL Financial LLC from November 11, 2011, to May 8, 2023, and has worked for J.W. Cole Financial Inc. and J.W. Cole Advisors Inc. […]

Investors potentially experienced losses due to securities broker Arthur Michael DeFilippo [CRD: 1348804, Boston, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Arthur DeFilippo has worked for Revere Securities LLC since July 8, 2010. Below, you can find important information about the disclosures involving this securities broker, which may be relevant […]

Investors might have sustained losses due to securities broker Karry Jean Maciak (also known as Karoline Maciak) [CRD: 4332863, Walnut Creek, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Maciak has worked for LPL Financial LLC since October 2, 2013, operating out of several California offices including Walnut Creek, Concord, Albany, […]

Investors possibly experienced sales practice violations because of securities broker Joseph Robert Weinbauer [CRD: 2714070, St. Louis, Missouri], according to publicly available information on FINRA BrokerCheck. Evidently, Joseph Weinbauer has worked for Berthel Fisher Company Financial Services Inc. since February 1, 2010, and with BFC Planning Inc. since May 24, 2016. Keep reading to learn […]

One or more investors apparently complained about securities broker UnBo Chung (also known as Bob Chung) [CRD: 6208569, Chicago, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chung has worked for Arete Wealth Management LLC since August 8, 2013, and Arete Wealth Advisors LLC since December 5, 2013. He was previously […]

Investors might have sustained losses due to securities broker Scott Christopher Jackson [CRD: 4443921, Tampa, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Jackson has worked for J.W. Cole Financial Inc. since October 1, 2014, and J.W. Cole Advisors Inc. since October 2, 2014. Below, investors can review details about the securities broker’s disclosures, including […]

Investors potentially experienced losses because of securities broker Alexandre Jesus Maltez (also known as Alex Maltez) [CRD: 6506116, Winter Springs, Florida], according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Maltez worked for Newbridge Securities Corporation from August 23, 2019 to August 1, 2022, and for Newbridge Financial Services […]

Investors potentially experienced sales practice violations due to securities broker Jason Christopher Klein [CRD: 2038304, Buffalo, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jason Klein has worked for UBS Financial Services Inc. in Buffalo, New York, since February 9, 2007, as both a broker and an investment adviser. Check […]