Financial Industry Regulatory Authority initiated a complaint against securities broker Keith Charles Moore [CRD: 5191450, Irvine, California], based on public information on BrokerCheck. Moore worked for Sutter Securities Clearing LLC from August 24, 2017, to February 16, 2024, and Sutter Securities Incorporated from April 17, 2019, to February 16, 2024. Continue reading to learn more […]

JOHN REED MICKELSON (JOHN R MICKELSON) has been registered as a broker with WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC and as an investment advisor with WEALTH ENHANCEMENT ADVISORY SERVICES, LLC both of Logan, Utah, since 1/5/2026. Mickelson was previously registered as an investment advisor with STRATEGIC ADVOCATES, LLC of Logan, Utah from 09/19/2022 - 01/02/2026. According […]

Investors potentially experienced sales practice violations by securities broker Walter Roland Valenzuela [CRD: 2280224, Encinitas, California], according to information disclosed through Financial Industry Regulatory Authority BrokerCheck. Valenzuela has worked for Kestra Investment Services LLC and Kestra Private Wealth Services LLC since April 29, 2020, and previously worked for Hilltop Securities Inc. from December 10, 2008, […]

Investors might have sustained losses due to securities broker Matthew Alfenso Gimmelli (also known as Matt Gimmelli) [CRD: 2740441, Scottsdale, Arizona], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gimmelli has worked for Morgan Stanley since January 6, 2016. Investors are encouraged to continue reading to find out more about Gimmelli’s […]

Investors apparently complained about securities broker Michael Edwin Magruder [CRD: 4579211, Orlando, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Magruder worked for Merrill Lynch from August 21, 2015, to July 2, 2021, and Raymond James from July 1, 2021, to August 2, 2024. Keep reading to learn more about Magruder’s disclosures. […]

Investors potentially experienced sales practice violations by securities broker Rajesh Markan [CRD: 4553309, Dallas, Texas], and United States Securities and Exchange Commission barred him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Markan worked for Merrill Lynch from May 8, 2009, through November 4, 2022, and Hilltop Securities Inc. from October 5, […]

Investors potentially incurred losses because of securities broker Tory Duggins [CRD: 4556340, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Duggins worked for Spartan Capital Securities LLC from February 29, 2016, to January 31, 2024. See below to find out more about Duggins’s disclosures. FINRA Sanctioned Duggins […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Brian James Pavelko [CRD: 6347352, Milpitas, California], according to information disclosed through BrokerCheck. Pavelko worked for SW Financial from September 20, 2018, to March 3, 2022, and NI Advisors from March 13, 2022, to December 23, 2025. Investors are encouraged to continue reading to learn more about […]

TORY A DUGGINS was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm.  The last firm Duggins was registered with was SPARTAN CAPITAL SECURITIES, LLC, of New York, New York from 02/29/2016 - 01/31/2024. According to the FINRA report dated 1/21/2026, TORY A DUGGINS was named a respondent in […]