Investors apparently complained about securities broker Joshua William Sievers [CRD: 6927788, Fort Wayne, Indiana], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sievers worked for Bankers Life Securities Inc. from April 2, 2018, to the present, and Bankers Life Advisory Services Inc. from September 18, 2019, to the present. Investors are encouraged […]

Investors have reportedly disputed the sales practices of securities broker Stephen Edward White (also known as Steve White) [CRD: 3052632, Los Angeles, California], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. White worked for UBS Financial Services Inc. from September 19, 2008, to November 2, 2021, before joining Rockefeller Financial LLC on […]

ROBERT SCOTT SMITH (ROBERT S SMITH) is currently registered as a broker with EMERSON EQUITY LLC of Newberg, Oregon, since 4/3/2020. He was previously registered as a broker with CONCORDE INVESTMENT SERVICES LLC of Newberg, Oregon, 05/06/2011 - 04/06/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ROBERT S SMITH has 39 […]

MARILEE ANN HILL (MARILEE A HILL, MARILEE ANN HANSEN) has been registered as a broker with EMERSON EQUITY LLC of San Mateo, California, since 3/26/2020.  She was previously registered with PRIMEX of Christiansted, St. Croix, VI, from 10/13/2014 - 04/20/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MARILEE A HILL has […]

Investors potentially experienced sales practice violations by securities broker Nicholas Thomas Stafford IV (also known as Nicholas Lance and Lance Stafford) [CRD: 2900449, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stafford worked for Bridge Capital Associates Inc. from January 10, 2020, to March 3, 2022, Emerson Equity […]

Investors might have sustained losses due to securities broker Jason Robert Griffin [CRD: 2725523, Newport Beach, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Griffin worked for Merrill Lynch in Newport Beach, California, and Monterey, California, since July 11, 2019. See below to discover more about disclosures involving Griffin. Merrill Lynch […]

Investors potentially incurred losses because of securities broker Frederick V. Sellers (also known as Fred Sellers) [CRD: 2855868, Columbia, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sellers worked for Edward Jones in Columbia, South Carolina, as a securities broker since March 26, 1997, and as a financial advisor since February […]

Investors apparently complained about securities broker Meen Ho Rhu [CRD: 2233178, Englewood Cliffs, New Jersey], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rhu worked for Equitable Advisors LLC from May 28, 1992, to the present as a securities broker and from July 30, 2002, to the present as a financial advisor. […]

FINRA sanctioned securities broker Jay Deron Zornes [CRD: 4124536, Ironton, Ohio], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jay Zornes worked for Cambridge Investment Research Inc. from March 5, 2014, to May 19, 2025. See below to learn more about the disclosures involving Jay Zornes. FINRA Sanctioned Zornes For Noncompliance With Investigation […]