FINRA barred securities broker Jeffrey Alan Arbeit [CRD: 6603428, Austin, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, Jeffrey Arbeit worked for Farmers Financial Solutions LLC from March 11, 2016 to March 7, 2025. Read the following sections to find out more about the disclosures concerning Arbeit’s conduct and FINRA’s subsequent […]

Investors reportedly complained about securities broker Matthew C. Haverty (also known as Matt Haverty) [CRD: 4618183, Leawood, Kansas], according to disclosures on FINRA BrokerCheck. Notably, Haverty joined RBC Capital Markets LLC on February 8, 2019, operating from their office in Leawood, Kansas. Prior to that, he worked for Morgan Stanley from June 1, 2009 to […]

Investors might have sustained losses due to securities broker Anthony Steven Martinelli [CRD: 2590758, Berwyn, Pennsylvania], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Martinelli joined LPL Financial LLC on June 13, 2014, and Jacobi Capital Management LLC on June 13, 2014. Read on to know more about […]

One or more investors possibly experienced losses because of securities broker Douglas Albert Dulac (also known as Doug Dulac) [CRD: 1411702, Carmel, Maine], according to disclosures on FINRA BrokerCheck. Evidently, Dulac has been registered with United Planners' Financial Services of America A Limited Partner from June 26, 2008 to the present. Below, you can find […]

FINRA barred securities broker Jennifer Lynn Nelson (also known as Jennifer Lynn Villers) [CRD: 7096757, Claremont, New Hampshire], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Nelson worked for Edward Jones from June 8, 2019 to June 13, 2024. Read the following sections to learn more about the disclosures concerning Jennifer […]

Investors potentially experienced sales practice violations due to securities broker Joseph Richard Muller [CRD: 6092175, Manchester, Missouri], according to disclosures on FINRA BrokerCheck. It appears that Muller joined Moloney Securities Co. Inc. on February 8, 2013, and Moloney Securities Asset Management LLC on February 23, 2016. Keep reading to find out more about Joseph Muller’s […]

Investors apparently complained about securities broker Christine Michelle Amato [CRD: 1048739, San Diego, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, Christine Amato worked for TD Ameritrade Inc. from January 12, 2016 to December 31, 2022, and for Charles Schwab Co. Inc. from January 26, 2022 to July 19, 2025. Read […]

Investors potentially experienced sales practice violations because of securities broker Kendal Ashley Fordham (also known as Kendal Ashley Cann) [CRD: 6504618, Jacksonville, Florida], according to publicly available information on FINRA BrokerCheck. Notably, Fordham worked for Raymond James Financial Services Inc. from March 29, 2017 to February 12, 2019. Below, you can learn more about Fordham’s […]

Investors might have sustained losses due to securities broker Eric Delaney [CRD: 2886715, Mount Laurel, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Eric Delaney worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. from February 22, 2010 to November 6, 2024, before joining LPL […]