Investors potentially experienced losses due to securities broker Surya Joshua Kane Metzler [CRD: 4558292, Newport Beach, California], according to disclosures on FINRA BrokerCheck. Evidently, Metzler worked for Capital Growth Resources from 2007 to 2008 and has since been employed by Centaurus Financial Inc. in Newport Beach, California since November 1, 2011, and by Newport Wealth […]

Investors might have sustained losses because of securities broker Stephen Romney Swensen (also known as Stephen Swenson) [CRD: 2885578, Clearfield, Utah], according to disclosures on FINRA BrokerCheck. It appears that Stephen Swensen worked for J.W. Cole Financial Inc. from May 8, 2018, to July 2, 2018. Keep reading to learn more about the investor disputes […]

FINRA has expelled securities broker Stephen Philip King [CRD: 1590508, Eatontown, New Jersey], according to disclosures on FINRA BrokerCheck. Apparently, King worked for Cantone Research Inc. from November 17, 2014, to September 5, 2023. Keep reading to learn more about King’s regulatory issues. King Barred By Cantone Over Testimony Refusal According to a regulatory action […]

Investors apparently complained about securities broker Santiago J. Torres Jr. [CRD: 5644622, Willow Street, Pennsylvania], according to disclosures on FINRA BrokerCheck. It appears that Torres worked for Truist Investment Services Inc. from February 17, 2021, to October 18, 2024, and BB&T Securities LLC from January 2, 2018, to February 17, 2021. Keep reading to learn […]

FINRA expelled securities broker Roger Albert Taft Gallagher [CRD: 5513745, Purchase, New York], according to disclosures on FINRA BrokerCheck. Evidently, Gallagher worked for Morgan Stanley from December 14, 2012 to September 6, 2024. Keep reading to learn more about the disclosures concerning Gallagher. FINRA Sanctioned Gallagher For Failing To Cooperate With An Investigation Evidently, on […]

Investors potentially experienced losses due to securities broker Rodney Lee Boelter (also known as Rod Boelter) [CRD: 3199789, Scottsdale, Arizona], according to disclosures on FINRA BrokerCheck. It appears that Boelter worked for MML Investors Services LLC from March 25, 2017, to August 2, 2021. He is currently registered with Osaic Wealth Inc., located in Scottsdale, […]

Investors might have sustained losses because of securities broker Rodney David Potratz [CRD: 2367896, Clive, Iowa], according to disclosures on FINRA BrokerCheck. Apparently, Rodney Potratz worked for FSC Securities Corporation from October 7, 2003 to November 3, 2023, before registering with Osaic Wealth Inc. on November 3, 2023. Keep reading to learn more about the […]

Investors might have sustained losses due to securities broker Rita Mansour [CRD: 1968418, Toledo, Ohio], according to disclosures on FINRA BrokerCheck. It appears that Rita Mansour has been registered with McDonald Partners LLC since September 15, 2006, both as a broker and as an investment adviser. Keep reading to learn more about the disclosures involving […]

Investors potentially experienced losses due to securities broker Ray Don Gallette [CRD: 3041923, El Dorado Springs, Missouri], according to disclosures on FINRA BrokerCheck. Evidently, Gallette worked for Coastal Equities Inc. from January 4, 2013 to January 29, 2020. Keep reading to learn more about the disclosures involving this securities broker and the types of investments […]