Investors might have sustained losses due to securities broker Lucas R. Hales [CRD: 6258497, Austin, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lucas Hales worked for Virtu Americas LLC from September 26, 2018, to March 7, 2022, and for Virtu Financial BD LLC from May 11, 2016, to April 9, […]

Investors possibly experienced losses because of securities broker Kyle M. Wool [CRD: 4238101, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kyle Wool worked for various firms, including Morgan Stanley from May 6, 2013, to February 18, 2021, Revere Securities LLC from January 20, 2021, to April 12, […]

GARY S COSTELLO (GARY STEVEN COSTELLO II), was previously registered both as an investment advisor and as a broker. Costello, currently is not registered with any firms. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, GARY S COSTELLO has been registered in the securities industry for 7 years and was listed with […]

Investors complained about securities broker Joseph Robert Eades Jr. (also known as Rob Eades and Robbie Eades) [CRD: 2357818, Easley, South Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joseph Eades has worked for Capital Investment Group Inc. since January 30, 2004, and with Capital Investment Advisory Services LLC since January […]

SEC brought a complaint against John Nicholas Matson [CRD: 1796541, Manhattan Beach, California], and LPL Financial LLC investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matson worked for LPL Financial LLC from November 2, 2017, to December 7, 2022, and for Ameriprise Financial Services Inc. from June 22, […]

FINRA fined securities broker Jeffrey Wayne Davidson [CRD: 4585780, Austin, Texas], and an investor complained about him. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, Davidson was employed by Purshe Kaplan Sterling Investments from 2022 to 2023. Also, he worked for Equitable Advisors LLC in 2022. The following information is an overview of the disclosures […]

Investors complained about financial advisor / securities broker Jason A. Shelby [CRD: 4589734, Memphis, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jason Shelby worked for FSC Securities Corporation from October 19, 2006, to November 3, 2023, and has worked for Osaic Wealth Inc. since November 3, 2023. Keep reading to […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SCOTT W TAUBMAN (SCOTT WILLARD TAUBMAN, SCOTT W. TAUBMAN, SCOTT TAUBMAN) is a broker/financial advisor who was previously registered with AMERIPRISE FINANCIAL SERVICES, LLC of Peoria, Arizona, from 03/03/2017 - 09/13/2022. The FINRA report, dated July 19, 2024, states that SCOTT W TAUBMAN was […]

Investors possibly experienced losses because of securities broker Janet T. Doherty [CRD: 2073278, Staten Island, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Doherty worked for OSAIC Wealth Inc. from June 15, 2004, to February 8, 2024. Doherty also joined Cetera Advisors before working for both Vanderbilt Securities and Vanderbilt […]