Investors might have sustained losses because of securities broker Huanwei Huang (also known as Andy Huang) [CRD: 3268328, Brooklyn, New York], according to disclosures on FINRA BrokerCheck. Notably, Huang joined Glendale Securities Inc. on November 2, 2005. Keep reading to find out more about the disclosures concerning Huanwei Huang. Glendale Securities Investor Accused Andy Huang […]

Investors reportedly complained about securities broker Adam Edward Brunin [CRD: 4407663, Fort Collins, Colorado], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Brunin worked for Sigma Financial Corporation from November 8, 2005 to February 22, 2016. He is President of Navigation Wealth Management Inc. as of February 2016, and […]

Investors potentially experienced sales practice violations due to securities broker Donald Wells (also known as Don Wells) [CRD: 1217316, Seattle, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Wells worked for Titan Securities from March 4, 2010 to June 30, 2023, and is currently registered with Realta Equities Inc. in Wilmington, Delaware, and Realta Investment […]

One or more investors possibly experienced losses because of securities broker Albert Chen [CRD: 5996821, Raleigh, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Chen worked for LPL Financial LLC from April 15, 2015 to March 24, 2020, and for Merrill Lynch from November 12, 2012 to April 16, 2015. […]

Investors might have sustained losses due to securities broker Mark C. Creason [CRD: 6617847, Atlanta, Georgia], according to publicly available information on FINRA BrokerCheck. Creason joined Metric Financial LLC on October 16, 2023. Before that, he worked for Emerson Equity LLC from March 22, 2019 to October 12, 2023, and by Colorado Financial Service Corporation […]

According to a recent article in InvestmentNews by Bruce Kelly, former registered representative, JAMES THADDEUS WALESA (JAMES T WALESA, JIM WALESA) is at the center of investor complaints seeking millions of dollars in damages.  Walesa was recently sued by FINRA, which InvestmentNews calls “the first step in the advisor being barred from the securities industry.” Walesa was […]

Investors apparently complained about securities broker Victoria Leigh Pierce (also known as Victoria Wightman Pierce) [CRD: 1311269, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Pierce joined J.P. Morgan Securities LLC on February 15, 2013, serving both as a securities broker and financial advisor. Below, you […]

Investors potentially experienced sales practice violations because of securities broker Gerald Warren Seigel (also known as Gerry Seigel) [CRD: 418229, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. Seigel joined Aegis Capital Corporation in Sarasota, Florida, as both a securities broker and financial advisor on June 17, 2015. Read on to know more about the […]

One or more investors possibly experienced losses due to securities broker Jordan Paul McLendon [CRD: 6410265, St. Petersburg, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McLendon worked for several brokerage firms, including Raymond James Associates Inc. from October 6, 2023 to July 11, 2024; UBS Financial Services Inc. from December […]