Investors might have sustained losses due to securities broker Nabil Bouab [CRD: 4340284, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nabil Bouab worked for Garden State Securities Inc. from October 31, 2022, to June 13, 2024, and for American Portfolios Financial Services Inc. from July 26, 2013, […]

DAN E DROEG (DAN EDWARD DROEG, DAN DROEG) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm in March of 2022. Without admitting or denying FINRA’s findings, DAN E DROEG consented to the sanction and to the entry of findings that he allegedly “converted assets of a […]

In a significant development, the U.S. Department of the Treasury has announced plans to introduce new anti-money laundering (AML) and countering the financing of terrorism (CFT) regulations for investment advisers. This initiative aims to address concerns that without consistent AML/CFT requirements, hedge funds and private equity firms could be exploited by corrupt officials and illicit […]

Investors possibly experienced losses because of financial advisor / securities broker Mike Robert Kilpatrick [CRD: 1278618, Camarillo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kilpatrick has worked for Centaurus Financial Inc. since May 10, 2011. Before this, he worked with LPL Financial and American Express Financial Advisors. Here’s more about the […]

Investors might have sustained losses due to financial advisor / securities broker Michael Jay Shatsky (also known as Mike Shatsky) [CRD: 2430683, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Shatsky joined Sky Alpha Asset Advisors LLC as a financial advisor in 2018. He worked at Oppenheimer Co. […]

Investors possibly experienced losses because of securities broker Mark Allen Upchurch [CRD: 2937074, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Upchurch worked for Centaurus Financial Inc. from March 1, 2012, to September 21, 2020. Here’s more about the securities broker’s disclosures. Investor Accused Upchurch Of Breach Of Fiduciary Duty […]

FINRA barred Marion Strickler Adams III (also known as Ma'on Adams) [CRD: 1392435, Mobile, Alabama], and an investor complained about the securities broker, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Marion Adams worked for Raymond James Associates Inc. from February 13, 2013, to November 5, 2021, and for The Jeffrey Matthews […]

Investors complained about securities broker Marc Edmond Haggar [CRD: 4146965, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Marc Haggar has worked for UBS Financial Services Inc. since December 6, 2011. The following information is an overview of the securities broker’s disclosures. UBS Financial Services Investor Accused Haggar Of Failure […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: DH HILL SECURITIES, LLLP, and a former registered representative (Respondents). The Claimants are a married couple living in Nebraska.  The husband is retired and his wife is currently employed. The lawsuit states that the Claimants became clients of DH HILL […]