Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Bradley Scot Frisk (also known as Bradley S. Frisk) [CRD: 5957389, Sacramento, California]. Evidently, Frisk has been registered with Raymond James Financial Services Inc. and Raymond James Financial Services Advisors Inc. since June 30, 2023. Notably, recent disclosures reveal concerns about Frisk’s conduct, including […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Billy James Aycock (CRD#: 4069907, Overland Park, Kansas). Aycock has worked in the securities industry for over 23 years, registering with 11 firms throughout his career. He is currently registered with Cabin Securities Inc. and Cabin Advisors LLC since December 13, 2023. Prior to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Cara Michelle Miller (also known as Cara M. Miller, Cara Michelle Smith) [CRD#: 4521819, Rapid City, SD]. Miller previously worked as a broker at multiple firms, including ProEquities Inc. from May 2006 to September 2020. She is currently registered as an investment adviser with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Bernell D. Baker (CRD: 5493956, Eagle Mountain, Utah). Baker has been registered with LPL Financial LLC since November 12, 2012. Recent disclosures reveal concerns regarding Baker’s conduct, including allegations of unsuitable investment recommendations and misrepresentation. Client Disputes Alleged Unsuitable Recommendations, Misrepresentation Specifically, on March […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ayad Beshara Saad (CRD#: 1912377, Melbourne, Florida). Saad previously worked at Morgan Stanley from March 2013 to December 2023. Recent disclosures highlight concerns regarding Saad’s professional conduct, including allegations of misrepresentation, unauthorized transactions, and employment terminations. Learn more about these disclosures below. Settled Client […]

John Nicholas Matson Formerly of LPL Financial John N Matson, a former financial advisor, was associated with LPL Financial LLC of Manhattan Beach, California, from 2007 to 2015 and 2017 to 2022. Prior to returning to LPL FINANCIAL LLC, he was affiliated with Ameriprise Financial Services, Inc. of Los Angeles, California from 2015 to 2017, […]

Mark C Creason, according to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, is currently a broker with Metric Financial, LLC of Atlanta.  Creason has been employed with Metric Financial since October 16, 2023. Mark C Creason was previously listed as a broker with Emerson Equity LLC of Temecula, California from March […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SANFORD GRAHAM SIMMONS JR (SANDY SIMMONS JR, SANFORD GRAHAM SIMMONS) was permanently barred from acting as a broker or otherwise associating with a broker/dealer firm by FINRA on October 17, 2024.  Simmons was previously registered both as a broker and as an investment advisor. […]

DALE ERBIN TIMMERMANN, according to FINRA’s BrokerCheck, is currently registered as a broker with MOLONEY SECURITIES CO INC of Vandalia, Illinois. Timmermann has been with MOLONEY SECURITIES since January 17, 2012. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DALE ERBIN TIMMERMANN has been in the securities industry for 31 years and […]