ARMANDO ALEJANDRO BARRON (ALEX A BARRON), according to a disclosure on FINRA’s BrokerCheck dated January 8, 2025, has been fined $50,000.00 and suspended from acting as a broker for two years, with a start date of 1/21/2025 and an end date of 1/20/2027.  Barron was previously employed by IRC SECURITIES LLC of New York, NY […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michael Ryan Coyne (also known as Mike Coyne) [CRD: 4674176, Wheaton, Illinois]. Michael Coyne has been employed with First Trust Portfolios L.P. since September 22, 2015, and First Trust Advisors LP since November 5, 2015. Recent disclosures report 14 client disputes, many alleging improper […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Rene Javier Castro [CRD: 2559410, Chicago, Illinois]. Rene Javier Castro worked for Center Street Securities, Inc. from April 2014 to October 2019 and later joined Great Point Capital LLC in November 2019, where he remains registered. Recent disclosures reveal concerns about Castro’s conduct, including […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory Alan Corrie [CRD: 1982814, Boise, Idaho]. Corrie, who worked for firms including Cambridge Investment Research, Inc. from January 2020 to March 2023 and Cetera Advisors LLC from November 2017 to November 2019, is the subject of multiple adverse disclosures. Recent regulatory actions and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker William Charles Burks II (also known as Bill Burks) [CRD: 2944992, Flower Mound, Texas]. William Burks has been registered with Centaurus Financial, Inc. since 2000 and has amassed over 27 years of experience in the securities industry. Recent disclosures reveal concerns about Burks’ conduct, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Luke M. Johnson (also known as Luke Johnson) [CRD: 3257008, Scottsdale, Arizona]. Johnson worked for Coastal Equities, Inc. from April 2012 to December 2019. Recent disclosures reveal concerns about Johnson’s conduct, including allegations of unsuitable recommendations, misrepresentation, and regulatory violations. Coastal Equities Client Files […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michael Christopher McFeeley (also known as Mike McFeeley) [CRD: 5505995, York, Pennsylvania]. McFeeley has 16 years of experience in the securities industry, currently employed with LPL Financial LLC since August 14, 2024. Previously, McFeeley worked for OSAIC FA, Inc. from May 14, 2008, to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Anida Venniro (also known as Enida Kerciku, Enida Venniro) [CRD#: 5121189, Orlando, Florida]. Anida Venniro worked for Ameriprise Financial Services, LLC from March 2021 to June 2024 and previously held positions at LPL Financial LLC, among others, during her 17-year career. Recent disclosures reveal […]

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