Investors potentially incurred losses because of securities broker James Patrick Doherty III [CRD: 859882, Trail Creek, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Doherty has worked for Morgan Stanley beginning June 1, 2009, and remains registered with the firm. Continue reading to discover more about the disclosures involving this […]

Investors potentially experienced sales practice violations by securities broker Timothy Darragh [CRD: 1897635, Chicago, Illinois], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Darragh has worked for Stifel Nicolaus since February 25, 2016. Investors can see below to find out more about the disclosures involving this securities broker. Stifel Nicolaus Investor […]

Investors might have sustained losses due to securities broker Broc Wavra [CRD: 4785221, Brawley, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Broc Wavra has worked for LPL Financial LLC since November 29, 2017, and Valley Wealth Strategies LLC since December 12, 2017. Investors should continue reading to discover more about client […]

Investors have reportedly disputed the sales practices of securities broker Austin Bowlin [CRD: 5674142, Portland, Oregon], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Austin Bowlin worked for Aurora Securities from April 27, 2021, to the present, and Secure Asset Management LLC from May 4, 2021, to the present, after previously […]

Investors potentially incurred losses because of securities broker Elijah Grant Goble [CRD: 6760147, Costa Mesa, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goble worked for Merrill Lynch from April 13, 2017, to March 5, 2018, and has been registered with Citigroup Global Markets Inc. since March 26, 2018. Investors should […]

Investors potentially experienced sales practice violations by securities broker Lei Wang [CRD: 2626500, West Palm Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lei Wang worked for Osaic Wealth Inc. beginning January 24, 2025, and previously was registered with Osaic FA Inc. from May 30, 2001, to January 24, 2025. Investors […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: AURORA SECURITIES, and their registered representatives, AUSTIN A BOWLIN and ROGER W BOWLIN (Respondents). The Claimant is retired and living in Maryland.  The lawsuit states that the Claimant was nearing retirement in 2023 and needed to sell the real estate […]

Investors apparently complained about securities broker Scott Edward Oliphant [CRD: 4551455, Columbus, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Oliphant worked for CFD Investments Inc. from November 14, 2005, to December 19, 2019, Creative Financial Designs Inc. from October 22, 2019, to December 19, 2019, Cetera Advisors LLC from […]

Investors might have sustained losses due to securities broker John Eric Suess [CRD: 1950146, Santa Rosa Beach, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Suess has worked for Stifel Nicolaus since January 23, 2014, where he is registered as both a broker and investment adviser. Readers should continue reviewing this […]