Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Robert James McKee (also known as Bob McKee) (CRD# 1223331) of Michigan City, Indiana. McKee has been registered with LPL Financial LLC since July 30, 2019. Throughout his 40-year career, he has been associated with multiple firms, including SagePoint Financial Inc., Next Financial Group […]

KERRIE COE (KERRIE A COBB, KERRIE COBB, KERRIE A COE, KERRIE A LEMON) is currently registered as a broker with WELLS FARGO CLEARING SERVICES, LLC, and as an investment advisor with WELLS FARGO ADVISORS, both in Indianapolis, Indiana, since 9/17/2024. She was previously listed both as a broker and financial advisor with CETERA INVESTMENT ADVISERS […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Richard Mireles (CRD#: 5288651, San Diego, California). Mireles has worked for Independent Financial Group LLC since May 2010. Recent disclosures indicate that FINRA has sanctioned Mireles, suspending him from principal and supervisory roles due to failure to address excessive trading red flags raised by […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Richard Jay Rustic (CRD#: 1128406, Bristol, Connecticut). Rustic has been registered with Commonwealth Financial Network since February 26, 2002. Previously, he was affiliated with First Investors Corporation from April 1983 to February 2002. Recent disclosures reveal concerns regarding Rustic's professional conduct, specifically allegations of […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michelle Elise Anthony (also known as Michelle Elise Murphy, Michelle Elise Murphy Anthony, Michelle Elise Murphy-Wall) [CRD#: 4512228, Tucson, Arizona]. Michelle Anthony has worked in the securities industry for over 21 years and is currently registered with Centaurus Financial Inc. in Tucson, Arizona. Since […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Matthew Bradley Mitchell (also known as Matthew Mitchell) [CRD: 4854608, Tulsa, Oklahoma]. Mitchell previously worked for BOK Financial Securities Inc. from August 2008 to January 2023 before joining Aegis Capital Corp. in January 2023. Recent disclosures raise concerns about Mitchell’s professional conduct, including allegations […]

MARIO JOSEPH PAYNE was previously registered as a broker and is currently registered as an investment advisor.Payne was previously listed as a broker with RAYMOND JAMES of Jacksonville, Florida, from 05/03/2013 - 02/12/2019. According to the SEC website, Payne is now listed as an investment advisor with TOAMS FINANCIAL of Jacksonville, Florida. According to FINRA’s […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Mark Douglas Erwin (CRD: 3039639, Napa, California). Erwin has been registered with Commonwealth Financial Network since January 5, 2006, and has over 26 years of experience in the financial industry. Recent disclosures reveal concerns about Erwin’s conduct, including allegations of unauthorized distributions and unsuitable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Marcel Pahmer (CRD#: 4565391, Newport Beach, California). Pahmer worked for Centaurus Financial Inc. from November 2007 to January 2025 and previously for AXA Advisors LLC from October 2002 to November 2007. Recent disclosures reveal concerns about Pahmer’s conduct, including allegations of recommending unsuitable, high-risk, […]