One or more investors apparently complained about securities broker Terry Eugene Harris [CRD: 2653757, Rolla, Missouri], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Terry Harris worked for Money Concepts Capital Corp from October 3, 2011, to December 31, 2019. Below, you can find important information about Terry Harris’s disclosures. Money Concepts […]

Investors potentially experienced sales practice violations due to securities broker Ronald Hicks [CRD: 716765, Williamsville, New York], according to publicly available disclosures on FINRA BrokerCheck. Evidently, Ronald Hicks worked for Equitable Advisors LLC from October 20, 1980, to February 15, 2024. Below, investors can review details about the disclosures involving Ronald Hicks. Equitable Advisors Investor […]

Investors might have sustained losses due to securities broker Jordan P. Rider [CRD: 5292169, Leawood, Kansas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jordan Rider worked for LPL Financial LLC since December 14, 2010, and more recently for The Wealth Consulting Group since July 14, 2023. He also worked […]

One or more investors apparently complained about securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Raymond Brown worked for Northwestern Mutual Investment Services LLC from March 17, 2014 to December 13, 2024. Below, you can find important information about the disclosures concerning Brown’s investment […]

Investors possibly experienced losses because of securities broker Patrick Alexander Moriarty [CRD: 4764378, Boston, Massachusetts], according to publicly available information on FINRA BrokerCheck. Evidently, Patrick Moriarty worked for UBS Financial Services Inc. from October 26, 2007, to August 30, 2024. Check out the following information about Patrick Moriarty’s regulatory disclosures. Moriarty Sanctioned By Massachusetts Securities […]

FINRA sanctioned securities broker James Ryan Parascandola [CRD: 2866028, East Brunswick, New Jersey] and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Parascandola worked for Pruco Securities LLC from May 16, 2022, to May 21, 2024, and for Equitable Advisors LLC from December 9, 2020, to May 18, […]

One or more investors apparently complained about securities broker Mark Wilkinson Richards (also known as Mark Wilkinson Dickey) [CRD: 2730478, Tijeras, New Mexico], according to disclosures on FINRA BrokerCheck. Evidently, Richards has worked for Madison Avenue Securities LLC in Tijeras, New Mexico since July 24, 2006, as a broker, and since March 25, 2009, as […]

FINRA barred securities broker Nicholas Edward Stovall [CRD: 5581487, Arden Hills, Minnesota] and an investor complained about him, according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stovall worked for Gradient Securities LLC from July 14, 2009, to July 21, 2023. Keep reading to learn more about the disclosures involving this […]

On May 25, 2025, the Financial Industry Regulatory Authority issued a series of disciplinary actions against broker/dealer, David Lerner Associates Inc. (DLA), and several of the company’s associates for allegedly recommending unsuitable investments in proprietary, illiquid, energy-focused limited partnerships to retail customers, including seniors and unsophisticated investors. According to a recent article from InvestmentNews, David […]