Investors might have sustained losses because of securities broker Trevor Alexander Fried [CRD: 5709772, Fort Lauderdale, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Trevor Fried has been registered with Morgan Stanley at its Fort Lauderdale, Florida branch since November 12, 2009, serving as both a broker and investment adviser. Keep […]

One or more investors apparently complained about securities broker Janete Magalli Rivera-Michel (also known as Janete Rivera, Janete Sosa, and Magaly Sosa) [CRD: 5754050, Dallas, Texas], based on disclosures on FINRA BrokerCheck. Evidently, Rivera-Michel has been registered with PFS Investments Inc. since February 15, 2011. Keep reading to find out more about the investor allegations […]

Investors potentially experienced losses due to securities broker Hugh James McGuire [CRD: 1858293, Collingswood, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hugh McGuire worked for Hornor, Townsend Kent LLC from April 11, 2003, to August 2, 2022. Below, you can learn more about McGuire’s disclosures and a […]

WILLIAM MICHAEL GRADY (WILLIAM M GRADY) is currently registered as a broker with SEQUENCE FINANCIAL SPECIALISTS LLC of FLORENCE, SC.  Grady has been with this firm since 9/3/2009.  Prior to SEQUENCE FINANCIAL SPECIALISTS, WILLIAM M GRADY was with RESOURCE HORIZONS GROUP LLC of MARIETTA, GA from 02/13/2007 - 09/10/2009. According to FINRA’s BrokerCheck, available to […]

One or more investors apparently complained about securities broker Cynthia S. Smith (also known as Cynthia Stein) [CRD: 2386038, Fort Myers, Florida], based on disclosures through FINRA’s BrokerCheck. Smith has been registered with Merrill Lynch Pierce Fenner Smith Incorporated in Fort Myers, Florida, since April 2, 2002. She has worked continuously with this firm in […]

Investors potentially experienced sales practice violations because of securities broker Mario Hank [CRD: 6723996, Houston, Texas], according to disclosures on FINRA BrokerCheck. Evidently, Mario Hank registered with Banorte Securities International, Ltd. since December 20, 2016, and worked with Banorte Asset Management Inc. since December 7, 2021. Below, you can find out more about the securities […]

Investors might have sustained losses due to securities broker Randy Cleve Fox (also known as Randy Fox) [CRD: 2726566, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Randy Fox worked for GT Securities Inc. from January 30, 2023, to April 17, 2024. Keep reading to discover more about the […]

Investors potentially experienced losses because of securities broker Bowman James Nicholson (also known as Bowman J. Nicholson) [CRD: 6050450, Raleigh, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bowman Nicholson has been employed by Capital Investment Group Inc. and Capital Investment Advisory Services LLC since May 5, 2016. Both firms […]

One or more investors apparently complained about securities broker Bradley Steven Vick (also known as Brad Vick, Bradley S. Vick) [CRD: 2056504, Stillwater, Minnesota], according to publicly available information on FINRA BrokerCheck. Evidently, Bradley Vick has worked with LPL Financial LLC since May 30, 2024. Prior to that, he was registered with Northwestern Mutual Investment […]