Investors might have sustained losses due to securities broker Christopher Ollinger Smith (also known as Chris Smith) [CRD: 1047265, Houston, Texas], according to disclosures on FINRA BrokerCheck. Notably, Christopher Ollinger Smith joined Morgan Stanley as both a securities broker and financial advisor on June 1, 2009. Read the following sections to find out more about […]

BRENTON E DITTO (BRENT E DITTO BRENTON EDWARD DITTO) is currently registered as a broker with LPL FINANCIAL LLC of Elizabethtown, Kentucky since 10/30/2014 and is also registered with them as an investment advisor since 7/8/2022. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRENTON E DITTO has 20 years of experience […]

Investors reportedly complained about securities broker Philip Allen Simonides (also known as Phil Simonides) [CRD: 1847411, Vienna, Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Simonides joined McAdam LLC on October 3, 2014, and Madison Avenue Securities LLC on January 8, 2025. Previously, he was with Purshe Kaplan Sterling Investments from […]

FINRA barred securities broker Szczepan Kosmaczewski (also known as Steven Kostis) [CRD: 7192377, New York, New York], according to publicly available information on FINRA BrokerCheck. It appears that Kosmaczewski worked for PHX Financial Inc. from November 19, 2024 to February 10, 2025; Craft Capital Management LLC from March 23, 2022 to November 20, 2023; Joseph […]

Investors potentially experienced sales practice violations because of securities broker Mark Connolly [CRD: 4443644, Fort Worth, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Connolly joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on January 1, 2008, operating out of Fort Worth and Colleyville, Texas. Below, you can learn more […]

Investors might have sustained losses due to securities broker John Mickelson [CRD: 2628700, Logan, Utah], according to disclosures on FINRA BrokerCheck. Specifically, Mickelson worked for Cambridge Investment Research Inc. from October 19, 2012 to December 31, 2022, and for Crown Capital Securities, L.P. from January 3, 2023 to March 12, 2024. He joined CreativeOne Securities […]

One or more investors possibly experienced losses because of securities broker Jie Zheng [CRD: 4187935, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zheng previously worked for Allied Millennial Partners LLC from January 17, 2014 to January 3, 2020. Read the following sections to know more about Zheng’s client […]

FINRA barred securities broker Glenn Ngo [CRD: 7200876, San Diego, California], according to public information on FINRA BrokerCheck. Notably, Ngo worked for Park Avenue Securities LLC from March 22, 2023 to March 4, 2025, and Northwestern Mutual Investment Services LLC from February 11, 2022 to March 21, 2023. Read on to learn more about the […]

Investors might have sustained losses due to securities broker Joanna Wang (also known as Jian Wang) [CRD: 4056171, Fort Mill, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Wang worked for Pruco Securities LLC from July 22, 2002 to November 14, 2024, and joined LPL Enterprise LLC on […]