Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Zachary McCraw (also known as Zach Ross McCraw) [CRD: 7003820, Ridgeland, Mississippi]. McCraw was previously registered with Pruco Securities LLC from November 2018 to July 2023, serving as a registered representative. Recent disclosures reveal concerns about McCraw’s conduct, including allegations of submitting non-genuine electronic […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Vinessa Renee Christian (CRD: 1860324, New York, NY). Christian previously worked for UBS Financial Services Inc. from September 2005 to April 2023 and was also registered with RBC Dain Rauscher Inc. and Tucker Anthony Incorporated. Recent disclosures reveal concerns about Christian’s conduct, leading to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Tracy Marie Longstreet (also known as Tracy Marie Sorth) [CRD#: 1768525, Houston, Texas]. Longstreet previously worked for UBS Financial Services Inc. from January 2009 to May 2024. Recent disclosures reveal concerns about Longstreet’s conduct, including allegations of ongoing theft from client accounts and the […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Timothy Joseph Banks (also known as Tim Banks) [CRD: 4497630, Creve Coeur, Missouri]. Banks has worked in the securities industry for 18 years, previously registered as a broker and currently acting as an investment adviser. His employment history includes positions at Private Client Services […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Reyes (also known as Thomas Reyes Jr., Tom Reyes Jr.) [CRD: 3168338, La Vista, Nebraska]. Reyes was previously registered as a broker and investment adviser, working for firms such as Raymond James Financial Services Inc., and NEXT Financial Group Inc. Recent regulatory actions […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Benjamin Paine (also known as Tom Paine) [CRD#: 2285372, Arroyo Grande, California]. Paine has worked in the securities industry for 32 years and is currently registered with Centaurus Financial Inc. in Arroyo Grande, California. He has been with this firm since May 5, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Theresa Allen (also known as Theresa Binkley, Theresa Givens) [CRD: 2183693, Newport Beach, California]. Allen has worked in the securities industry for 32 years, most recently registering with RBC Capital Markets LLC in April 2023. Prior to that, she was employed with First Republic […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Steve Allen Moise (also known as Steve Allen, Steve Alan Moise) [CRD: 4995443, Mineola, New York]. Moise previously worked for multiple brokerage firms, including Joseph Stone Capital L.L.C. from 2016 to 2022. Recent disclosures reveal regulatory actions and client disputes concerning Moise’s alleged excessive […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Stephen James Sperling (CRD: 3061073, Palatine, Illinois). Sperling worked for Wintrust Investments LLC from 2007 to 2024 and previously held positions at LaSalle Financial Services, Harris InvestorLine, and Harris Investors Direct. Recent disclosures highlight concerns regarding Sperling’s conduct, including client disputes related to unsuitable […]