Investors potentially experienced losses because of securities broker Deborah Sue Anderson (also known as Deborah Sue Beemer) [CRD: 1795405, San Diego, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Anderson worked for LPL Financial LLC from June 5, 2020, to May 7, 2021, and for Centaurus Financial Inc. from April 17, 2006, […]

TORIAN D MITCHELL (TERRY MITCHELL, TORIAN DEVON MITCHELL, TORIAN MITCHELL), according to FINRA’s BrokerCheck, available to the public on FINRA’s website, was previously registered both as an investment advisor and as a broker.According to FINRA, TORIAN D MITCHELL was in the securities industry for 5 years and was listed with 4 firms.  The most recent […]

KURT EDWARD STAHL (KURT E STAHL, KURT STAHL) is currently a financial advisor with AE WEALTH MANAGEMENT, LLC of Lakewood Ranch, Florida.  He has been with this firm since 5/10/2017. Kurt Stahl was previously registered as a broker and financial advisor with BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC of Sarasota, Florida, according to the […]

Investors apparently complained about securities broker David John Taddeo [CRD: 1163829, La Mesa, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Taddeo worked for LPL Financial LLC from September 26, 2000, to March 8, 2024. Keep reading to learn more about the disclosures related to David Taddeo. LPL Financial LLC Investor Accused […]

Investors might have sustained losses due to securities broker David Edward Spellman [CRD: 6784263, San Antonio, Texas], according to disclosures on FINRA BrokerCheck. According to the regulator, Spellman has worked for Money Concepts Capital Corp. since June 30, 2017, and with Money Concepts Advisory Service since October 18, 2018. Here’s more about the disclosures concerning […]

ADAM EDWARD BRUNIN (ADAM E BRUNIN, ADAM BRUNIN) is currently registered as an investment advisor with Navigation Wealth Management of Ft. Collins, Colorado since 4/5/2016. ADAM E BRUNIN was previously registered as a broker with Sigma Financial Corporation of Ft. Collins, Colorado from 11/08/2005 - 02/22/2016, and as an investment advisor with SPC of Ft. […]

Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]

Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]

FINRA sanctioned securities broker Christopher Philip Arnella [CRD: 4886531, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Arnella worked for Morgan Stanley since June 1, 2009, as a securities broker and since June 27, 2013, as a financial advisor. Regulatory records indicate that Arnella was sanctioned by FINRA for […]