JON PETER LINDBERG, according to the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck, was a former broker with PROEQUITIES, INC of Birmingham, Alabama from 08/02/1989 - 08/10/2018. On FINRA’s BrokerCheck, available to the public on FINRA’s website, two “Regulatory” actions listed are currently pending. On May 27, 2020, the state of Montana initiated a regulatory action […]

How to raise capital legally and efficiently without full SEC registration, using exempt offerings under Regulation D, Regulation CF, and Regulation A. Raising capital fuels business growth, but SEC registration can be slow and expensive. Fortunately, many companies can avoid the full process by using exempt offerings—a faster, cost-effective way to secure investment while staying […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Robert Joseph Earls Jr. [CRD: 1369915, Roanoke, Virginia]. Earls was previously registered as both a broker and an investment adviser, most recently working for LPL Financial LLC from June 2011 to February 2024. Recent disclosures detail multiple customer disputes, allegations of misappropriation, and an […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Zachary McCraw (also known as Zach Ross McCraw) [CRD: 7003820, Ridgeland, Mississippi]. McCraw was previously registered with Pruco Securities LLC from November 2018 to July 2023, serving as a registered representative. Recent disclosures reveal concerns about McCraw’s conduct, including allegations of submitting non-genuine electronic […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Vinessa Renee Christian (CRD: 1860324, New York, NY). Christian previously worked for UBS Financial Services Inc. from September 2005 to April 2023 and was also registered with RBC Dain Rauscher Inc. and Tucker Anthony Incorporated. Recent disclosures reveal concerns about Christian’s conduct, leading to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Tracy Marie Longstreet (also known as Tracy Marie Sorth) [CRD#: 1768525, Houston, Texas]. Longstreet previously worked for UBS Financial Services Inc. from January 2009 to May 2024. Recent disclosures reveal concerns about Longstreet’s conduct, including allegations of ongoing theft from client accounts and the […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Timothy Joseph Banks (also known as Tim Banks) [CRD: 4497630, Creve Coeur, Missouri]. Banks has worked in the securities industry for 18 years, previously registered as a broker and currently acting as an investment adviser. His employment history includes positions at Private Client Services […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Reyes (also known as Thomas Reyes Jr., Tom Reyes Jr.) [CRD: 3168338, La Vista, Nebraska]. Reyes was previously registered as a broker and investment adviser, working for firms such as Raymond James Financial Services Inc., and NEXT Financial Group Inc. Recent regulatory actions […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Benjamin Paine (also known as Tom Paine) [CRD#: 2285372, Arroyo Grande, California]. Paine has worked in the securities industry for 32 years and is currently registered with Centaurus Financial Inc. in Arroyo Grande, California. He has been with this firm since May 5, […]