One or more investors apparently complained about securities broker Chris Toomey (also known as Paul Christian Toomey) [CRD: 4560193, Sugar Land, Texas], based on disclosures through FINRA’s BrokerCheck. Evidently, Chris Toomey has been registered with J.P. Morgan Securities LLC since September 1, 2021, as a broker, and since October 12, 2021, as an investment adviser. […]

Investors potentially experienced losses due to securities broker Keith Russell Morgan (also known as Keith Morgan) [CRD: 3139407, Dalton, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan worked for Steward Partners Investment Solutions LLC from July 15, 2010, and became registered with Steward Partners Investment Advisory LLC on May 1, […]

One or more investors apparently complained about securities broker Todd William Walker [CRD: 2503388, Biloxi, Mississippi], according to disclosures on FINRA BrokerCheck. Evidently, Todd Walker has been registered with Centaurus Financial Inc. at its Centennial, Colorado, branch since January 12, 2005, and registered as an investment adviser with the same firm since January 9, 2012. […]

Investors potentially experienced sales practice violations because of securities broker Erik Craig Olson [CRD: 4794857, Crystal Lake, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Olson has been employed by Arete Wealth Management LLC since March 31, 2010, and Arete Wealth Advisors LLC since April 1, 2010—both located at 1 North […]

Investors might have sustained losses due to securities broker Robert Gerard Devita [CRD: 1865964, Downers Grove, Illinois], according to publicly available information through FINRA’s BrokerCheck. Evidently, Robert Devita joined Ausdal Financial Partners Inc. on July 1, 2010, working as both a broker and investment adviser representative. Below, you can discover more about the disclosures involving […]

JEFF W WEBB is currently registered as a broker since 5/5/2017 with EMERSON EQUITY LLC of San Mateo, California and as an investment advisor with EMERSON EQUITY of Denver, Colorado, since 11/5/2019. JEFF W WEBB was previously listed as an investment advisor with KINGSTONE CAPITAL PARTNERS TEXAS, LLC of Denver, Colorado from 01/05/2018 - 01/02/2020.  […]

Investors potentially experienced sales practice violations due to securities broker Jaime Estrada (also known as Jaime Achille Estrada, Jimmy Achille Estrada) [CRD: 5852546, Walnut Creek, California], based on disclosures on FINRA BrokerCheck. Evidently, Estrada worked for Wells Fargo Clearing Services LLC from November 22, 2010, to December 16, 2022. As of December 16, 2022, he […]

One or more investors apparently complained about securities broker Abtin Bashirazami [CRD: 7526170, Columbus, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Abtin Bashirazami joined Transamerica Financial Advisors LLC on April 1, 2022. Below, you can learn more about the client dispute involving this broker. Transamerica Investor Accused Bashirazami Of Misrepresentation […]

Investors potentially experienced sales practice violations due to securities broker Terrell Todd Bowman (also known as Terrell Bowman) [CRD: 7382551, Falls Church, Virginia], according to publicly available information through FINRA’s BrokerCheck. Evidently, Terrell Bowman worked for Equitable Advisors LLC from June 30, 2021, to August 11, 2023. Keep reading to find out more about the […]