Investors apparently complained about securities broker Michael Risko [CRD: 1975573, Kingston, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Risko has been registered with Osaic Institutions Inc. since July 1, 2016, operating from offices in Kingston, Hyde Park, and West Hurley, New York. Read on to find out more […]

Investors have reportedly disputed the sales practices of securities broker Thomas Evans Watts Jr. (also known as Thomas Evan Watts Jr. and Tombo Watts) [CRD: 2315483, El Dorado, Arkansas], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Watts worked for Edward Jones from April 6, 1993, to October 18, 2024, and […]

Investors potentially incurred losses because of securities broker Christopher John McCaffrey [CRD: 2735236, Napa, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCaffrey worked for Morgan Stanley from June 1, 2009, to February 13, 2024. Investors should review the information below to discover more about McCaffrey’s disclosures. Morgan Stanley Smith Barney LLC […]

Investors potentially experienced sales practice violations by securities broker Brian Dunn [CRD: 4574012, San Francisco, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brian Dunn worked for Mercury Investment Services LLC from March 14, 2024, to January 22, 2025, and previously worked for Growth Capital Services Inc. from June 4, […]

Investors apparently complained about securities broker Stephen R. Mihalek [CRD: 4403050, Pepper Pike, Ohio], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mihalek worked for J.P. Morgan Securities LLC from October 1, 2012, to January 14, 2024, and has been registered with Morgan Stanley since January 12, 2024. Read on to […]

Investors might have sustained losses due to securities broker Craig Steven Nomberg [CRD: 4293515, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nomberg worked for Merrill Lynch beginning May 19, 2025, and previously worked for Wells Fargo Advisors from December 1, 2019, to May 27, 2025, as well as Wells […]

Investors have reportedly disputed the sales practices of securities broker Richard John Donatelli (also known as Rick Donatelllli) [CRD: 1652397, Columbiana, Ohio], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Donatelli has been registered with LPL Financial LLC since November 29, 2017, and one of the disclosed client disputes states the […]

RYAN DAVID FINCH (RYAN D FINCH) has been registered with EMERSON EQUITY LLC of Greenwood Village, Colorado, both as an investment advisor and as a broker since 2020.  He was previously registered also as an investment advisor and broker with COLORADO FINANCIAL SERVICE CORPORATION of Greenwood Village, Colorado. According to FINRA’s BrokerCheck, available to the […]

Investors potentially experienced sales practice violations by securities broker Lisa Aileen Pugel (also known as Lisa Aileen Klatt and Lisa Aileen Winski) [CRD: 2506156, Caledonia, Wisconsin], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pugel worked for Avantax Investment Services Inc. from February 3, 1995, to September 5, 2025, and Avantax […]