SEC brought a complaint against John Nicholas Matson [CRD: 1796541, Manhattan Beach, California], and LPL Financial LLC investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matson worked for LPL Financial LLC from November 2, 2017, to December 7, 2022, and for Ameriprise Financial Services Inc. from June 22, […]

FINRA fined securities broker Jeffrey Wayne Davidson [CRD: 4585780, Austin, Texas], and an investor complained about him. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, Davidson was employed by Purshe Kaplan Sterling Investments from 2022 to 2023. Also, he worked for Equitable Advisors LLC in 2022. The following information is an overview of the disclosures […]

Investors complained about financial advisor / securities broker Jason A. Shelby [CRD: 4589734, Memphis, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jason Shelby worked for FSC Securities Corporation from October 19, 2006, to November 3, 2023, and has worked for Osaic Wealth Inc. since November 3, 2023. Keep reading to […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SCOTT W TAUBMAN (SCOTT WILLARD TAUBMAN, SCOTT W. TAUBMAN, SCOTT TAUBMAN) is a broker/financial advisor who was previously registered with AMERIPRISE FINANCIAL SERVICES, LLC of Peoria, Arizona, from 03/03/2017 - 09/13/2022. The FINRA report, dated July 19, 2024, states that SCOTT W TAUBMAN was […]

Investors possibly experienced losses because of securities broker Janet T. Doherty [CRD: 2073278, Staten Island, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Doherty worked for OSAIC Wealth Inc. from June 15, 2004, to February 8, 2024. Doherty also joined Cetera Advisors before working for both Vanderbilt Securities and Vanderbilt […]

Investors might have sustained losses due to securities broker Jack Matthew Cayce (also known as J.M. Cayce and Matt Cayce) [CRD: 4189311, Atlanta, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jack Cayce worked for Purshe Kaplan Sterling Investments since January 23, 2023, and Apollon Wealth Management LLC since May 12, […]

SEC fined securities broker Geoffrey Michael Wolterstorff (also known as Geoff Wolterstorff) [CRD: 2711805, Eau Claire, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Geoffrey Wolterstorff has worked for Lifemark Securities Corp. since October 1, 2018. Before joining this firm, Wolterstorff was employed by Foresters Equity Services Inc. from March 8, […]

Investors complained about securities broker Gary William Holland [CRD: 852976, Leominster, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gary Holland worked for Ameriprise Financial Services Inc. until 2015. He joined Cetera Investment Advisers in 2023 and Cetera Advisor Networks in 2021. Here’s more about the securities broker’s disclosures and the […]

Investors possibly experienced losses because of securities broker Donna Maria Seymour (also known as Donna Maria Pastorik) [CRD: 1714302, Winter Haven, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donna Seymour has worked for Centaurus Financial Inc. since July 27, 2016, and for Ingram Advisory Services LLC since September 15, 2009, […]