Investors potentially experienced sales practice violations due to securities broker Shannon Renee Roehrs [CRD: 4359877, Las Vegas, Nevada], according to disclosures through FINRA’s BrokerCheck. Evidently, Shannon Roehrs has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since October 23, 2009, and continues to serve as a broker and investment adviser at their Las Vegas, […]

Investors potentially experienced losses due to securities broker John Anthony Cutrone III (also known as John Anthony Cutrone) [CRD: 6427013, New York, New York], based on disclosures on FINRA BrokerCheck. Evidently, Cutrone worked for Aegis Capital Corp. from August 30, 2017, to June 14, 2024. Keep reading to discover more about the disclosures made against […]

One or more investors apparently complained about securities broker David Norman Dunn [CRD: 2819556, Walnut Creek, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, David Dunn worked for Oppenheimer Co. Inc. in San Francisco, California, from January 16, 2007, to January 13, 2023, before moving to Raymond James Associates […]

Investors potentially experienced losses due to securities broker Joel Alexander Minner [CRD: 6829281, Clarksville, Tennessee], based on disclosures on FINRA BrokerCheck. Evidently, Joel Minner worked for HD Vest Investment Services from September 27, 2017, to May 18, 2018, then for Avantax Investment Services Inc. from August 29, 2018, to August 6, 2024, and most recently […]

Investors potentially experienced sales practice violations because of securities broker Jeffrey Steinberg (also known as Jeff Steinberg) [CRD: 2610793, Port Saint Lucie, Florida], according to disclosures through FINRA’s BrokerCheck. Steinberg has been registered with Avantax Investment Services Inc. since October 25, 2019; Avantax Planning Partners Inc. since June 29, 2022; and Avantax Advisory Services since […]

Investors potentially experienced losses due to securities broker Mark Edward Brooks [CRD: 2174252, Troy, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mark Brooks has worked for Northwestern Mutual Investment Services LLC since September 19, 1991. Keep reading to learn more about the disclosures involving this securities broker and what they […]

One or more investors apparently complained about securities broker William Tenpenny (also known as Will Tenpenny) [CRD: 5606390, Spring Hill, Tennessee], according to publicly available information on FINRA BrokerCheck. Evidently, William Tenpenny has worked for Edward Jones since May 6, 2009, serving as both a broker and investment adviser at the firm's Spring Hill, Tennessee […]

Investors potentially experienced sales practice violations due to securities broker Williams Keen Butcher (also known as Keen Butcher) [CRD: 2098675, Kemah, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Williams Butcher worked for Independent Financial Group LLC beginning May 3, 2022, and is currently registered with this firm. Previously, Butcher was […]

Investors potentially experienced sales practice violations because of securities broker Jessica Healy [CRD: 6589558, Chicago, Illinois], based on disclosures through FINRA’s BrokerCheck. Evidently, Healy worked for Metropolitan Capital Investment Banc Inc. from February 16, 2016, to December 20, 2023. Below, you can discover more about the securities broker’s disclosures and what they may mean for […]