Former securities broker Andrew Stephen Walters (CRD: 7291210), who is located in Lexington, Kentucky, has faced a regulatory investigation by the Financial Industry Regulatory Authority (FINRA), according to BrokerCheck disclosures. Walters worked for First Kentucky Securities Corporation from February 29, 2024, to December 6, 2024. He previously worked for Charles Schwab Inc. from May 25, […]

Jorge Issac Montealegre (CRD: 1799139), a securities broker in Coral Gables, Florida, is named in client disputes, including a pending arbitration alleging investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. He has worked for Oppenheimer Co. Inc. as a broker since August 24, 2007, and as a financial advisor since January 11, 2008. […]

Darren James Bernard (CRD: 5160409), a securities broker in Scottsdale, Arizona, was named in a client complaint alleging investment misrepresentation and losses, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bernard has worked for J.P. Morgan Securities LLC since October 1, 2012. Read on for details about the complaint and its outcome. J.P. […]

Matthew David Fields (CRD: 4005336), a securities broker in Lake Oswego, Oregon, has been registered with Robert W. Baird Incorporated since May 4, 2012. A client dispute listed on Financial Industry Regulatory Authority (FINRA) BrokerCheck raises the possibility of investor losses related to Fields. Here is what the client alleged about the securities broker. Baird […]

Javier Adolfo Naselli (CRD: 2425401), a securities broker in Miami, Florida, has faced client complaints alleging investment losses and sales practice violations, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Naselli worked as a securities broker at UBS Financial Services Inc. from June 3, 2011, to July 2, 2024, and as a financial advisor […]

David Madison Engel (CRD: 4909432), a securities broker in Philadelphia, Pennsylvania, is the subject of a client complaint alleging that his conduct caused investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Engel has been registered with Wells Fargo Clearing Services and Wells Fargo Advisors since December 4, 2013. Here is what the client […]

George Edwin Smith III (CRD: 1357861), a securities broker based in Bel Air, Maryland, is named in a client dispute involving possible investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith has been registered with Merrill Lynch since October 10, 2008. Here is what the client alleges and where the case stands. Merrill […]

Bruce Lawrence Klein [CRD: 1588544], a securities broker based in Chicago, Illinois, is the subject of a client complaint involving alleged financial harm, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Klein has been registered with CIBC World Markets Corp. since October 31, 2017, and with CIBC Private Wealth Advisors Inc. since November […]

Rachel-Marie Graham (CRD: 7508325), a securities broker based in Bonham, Texas, disclosed a client complaint involving possible investor losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Graham worked with State Farm VP Management Corp. since April 16, 2025, and with State Farm Investment Management Corp. since March 10, 2026. Here's what the clients […]