Investors apparently complained about securities broker Rainer Rudi Hohlbein (also known as Rainer Rudi Hohlbeim) [CRD: 1282146, Verona, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hohlbein worked for LPL Financial LLC from October 11, 2011, to October 13, 2021. See the following information to find out more about the disclosures involving […]

Investors potentially incurred losses because of securities broker Timothy Richard Farris [CRD: 2178521, West Bloomfield, Michigan], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Farris worked for Sigma Financial Corporation from May 15, 2015, to December 17, 2021, SPC from November 15, 2021, to December 17, 2021, and Cetera Advisors […]

Investors potentially experienced sales practice violations by securities broker Christopher Daniel Tully [CRD: 870889, New Rochelle, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Tully worked for Oppenheimer Co. Inc. from February 17, 2009, and has remained registered with the firm since November 18, 2011. Read on for […]

Investors have reportedly disputed the sales practices of securities broker Christiana O. Webb (also known as Christina Webb) [CRD: 5116707, Atlanta, Georgia], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Webb worked for Morgan Stanley from June 1, 2009, to September 10, 2024, before registering with Truist Investment Services Inc. on November 14, […]

Investors apparently complained about securities broker Richard Francis Simonitis Jr. [CRD: 2263459, North Royalton, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Simonitis has been registered with LPL Financial LLC since February 26, 2007, as a broker and since February 27, 2007, as a financial advisor. See the following information to […]

Investors might have sustained losses due to securities broker Kevin Michael Ross [CRD: 2290136, Charlotte, North Carolina], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kevin Ross worked for Bridgeway Wealth Partners LLC from August 24, 2020, to December 31, 2023, and later for Cape Securities Inc. from December 7, 2023, […]

Texas State Securities Board sanctioned securities broker Logan D. Cox [CRD: 6927720, Overland Park, Kansas], and investors complained about him, given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Logan Cox worked for Arete Wealth Management LLC and Arete Wealth Advisors LLC from June 30, 2020, to May 1, 2025, before […]

Investors potentially experienced sales practice violations by securities broker Scott Douglas Jones [CRD: 2196146, Cincinnati, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones worked for UBS Financial Services Inc. from January 22, 2009, to January 20, 2026. Read on to discover more about this securities broker’s disclosures. UBS Financial Services Inc. […]

Investors potentially incurred losses because of securities broker Arthur Roy McPherson II (also known as Art McPherson) [CRD: 2245364, Melbourne, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McPherson has been registered with World Equity Group Inc. since July 1, 2019, and ProStatis Financial Advisors Group since February 25, 2019, […]