Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Bernell D. Baker (CRD: 5493956, Eagle Mountain, Utah). Baker has been registered with LPL Financial LLC since November 12, 2012. Recent disclosures reveal concerns regarding Baker’s conduct, including allegations of unsuitable investment recommendations and misrepresentation. Client Disputes Alleged Unsuitable Recommendations, Misrepresentation Specifically, on March […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ayad Beshara Saad (CRD#: 1912377, Melbourne, Florida). Saad previously worked at Morgan Stanley from March 2013 to December 2023. Recent disclosures highlight concerns regarding Saad’s professional conduct, including allegations of misrepresentation, unauthorized transactions, and employment terminations. Learn more about these disclosures below. Settled Client […]

John Nicholas Matson Formerly of LPL Financial John N Matson, a former financial advisor, was associated with LPL Financial LLC of Manhattan Beach, California, from 2007 to 2015 and 2017 to 2022. Prior to returning to LPL FINANCIAL LLC, he was affiliated with Ameriprise Financial Services, Inc. of Los Angeles, California from 2015 to 2017, […]

Mark C Creason, according to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, is currently a broker with Metric Financial, LLC of Atlanta.  Creason has been employed with Metric Financial since October 16, 2023. Mark C Creason was previously listed as a broker with Emerson Equity LLC of Temecula, California from March […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SANFORD GRAHAM SIMMONS JR (SANDY SIMMONS JR, SANFORD GRAHAM SIMMONS) was permanently barred from acting as a broker or otherwise associating with a broker/dealer firm by FINRA on October 17, 2024.  Simmons was previously registered both as a broker and as an investment advisor. […]

DALE ERBIN TIMMERMANN, according to FINRA’s BrokerCheck, is currently registered as a broker with MOLONEY SECURITIES CO INC of Vandalia, Illinois. Timmermann has been with MOLONEY SECURITIES since January 17, 2012. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DALE ERBIN TIMMERMANN has been in the securities industry for 31 years and […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, PETER BRIAN ROBERTSON is currently with OSAIC WEALTH INC of Irvine, California.  Robertson registered as a broker with OSAIC WEALTH INC, June 1, 1998, and as an investment advisor on December 19, 1997. PETER BRIAN ROBERTSON, according to FINRA’s BrokerCheck, has been in the […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Howard Dennis Kavinsky (also known as Howard Kavinsky) [CRD#: 5881623, Chicago, Illinois]. Howard Kavinsky worked for several firms during his 13-year career in the securities industry. He worked for Hornor, Townsend & Kent, Inc. from March 2011 to March 2015, Morgan Stanley from April […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Lowther (also known as Jason Smith) [CRD#: 2606268, Ann Arbor, Michigan]. Jason Lowther has over 27 years of experience in the securities industry and is currently employed by Concorde Investment Services, LLC, where he has worked since September 2021. He previously worked for […]