Investors potentially experienced sales practice violations because of securities broker Paul Andrew Valdivia [CRD: 6045337, Greenville, South Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Valdivia joined Fidelity Brokerage Services LLC on June 5, 2012, and works as a financial advisor at Strategic Advisers LLC as of March 31, 2025. His previous employment includes Fidelity […]

CHUCK A ROBERTS, formerly registered with STIFEL, NICOLAUS & COMPANY, INCORPORATED of New York, NY, from 03/01/2016 - 07/09/2025, was permanently barred by FINRA, according to FINRA’s BrokerCheck, on 7/16/2025.  According to the FINRA report, without admitting or denying FINRA’s findings, CHUCK A ROBERTS consented to the sanction and to the entry of findings that […]

FINRA barred securities broker Linda Lucille Sokol Francis (also known as Linda Gundelach) [CRD: 811073, Brookfield, Illinois], and investors complained about her, according to disclosures on FINRA BrokerCheck. It appears that Sokol Francis worked for Waddell Reed from August 14, 1975 to July 21, 2021, and then for LPL Financial LLC from July 21, 2021 […]

Investors might have sustained losses due to securities broker Frank John Ward [CRD: 1621434, Omaha, Nebraska], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ward joined Raymond James Financial Services Inc. on June 17, 2015, and Raymond James Financial Services Advisors Inc. on June 19, 2015. Read the following sections to learn […]

One or more investors possibly experienced losses due to securities broker Daniel Silverberg (also known as Dan Silverberg and Danny Silverberg) [CRD: 1576956, Margate City, New Jersey], according to public information on FINRA BrokerCheck. Notably, Silverberg worked for UBS Financial Services Inc. from July 22, 2021, and worked for Morgan Stanley from March 23, 2012 […]

FINRA suspended securities broker Michael Joseph Dugan (also known as Michael Joe Dugan and Mike Dugan) [CRD: 2824966, Staten Island, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Dugan worked for Alexander Capital, L.P. in Staten Island and Red Bank from July 11, 2024 to June 26, 2025. […]

Investors potentially experienced sales practice violations because of securities broker Henrique Lucena [CRD: 5605196, Coral Gables, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Lucena worked for UBS Financial Services Inc. from August 4, 2010 to March 21, 2017, and Morgan Stanley from March 10, 2017 to July 30, 2020. He joined Laidlaw Company (UK) […]

Investors might have sustained losses due to securities broker Joshua Shipley [CRD: 6631027, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Shipley joined Dominari Securities LLC on April 13, 2023. Before that, he worked at Revere Securities LLC from January 20, 2021 to April 12, 2023. Read on […]

Investors reportedly complained about securities broker Jason Peter Doneth (also known as Jason Peter Daneth) [CRD: 4696330, Salem, Oregon], according to publicly available information on FINRA BrokerCheck. It appears that Doneth worked for LPL Financial LLC from February 13, 2004 to May 21, 2015, and joined Ameriprise Financial Services LLC on May 15, 2015. Keep […]