Investors have reportedly disputed the sales practices of securities broker Lawrence Aloysius Whipple III (also known as Trey Whipple) [CRD: 2701809, Wayzata, Minnesota], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Whipple worked for Merrill Lynch from September 4, 2015, to October 3, 2025. Investors are encouraged to continue reading to […]

Investors potentially experienced sales practice violations by securities broker Brett Michael Frum [CRD: 2175253, Green Bay, Wisconsin], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frum worked for AEI Securities Inc. from April 7, 2021, to August 17, 2021, and later became registered with KCD Financial Inc. beginning November 3, 2021, including registrations […]

Investors apparently complained about securities broker Troy Lee Robertson [CRD: 6831574, San Diego, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robertson has been registered with Emerson Equity LLC since April 30, 2024, and previously worked with Copley Financial Group Inc. beginning July 20, 2017. Investors are encouraged to review […]

Investors potentially incurred losses because of securities broker Michael William Jarvis [CRD: 2160274, McKinney, Texas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jarvis worked for Cetera Wealth Services LLC beginning on November 1, 2017, and later became registered with Cetera Investment Advisers LLC on June 29, 2023, after previously being […]

Investors might have sustained losses due to securities broker Ronald Norman York Jr. [CRD: 4308987, Wall, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. York worked for Triad Advisors LLC from March 21, 2014, to April 30, 2019, and he has been registered with Arkadios Capital and Arkadios Wealth Advisors since […]

Fariba Z Madison (Fariba Zehtabian Madison, Fariba Zehtabian) is currently registered as an investment advisor and as a broker with VANDERBILT SECURITIES, LLC of Los Alamitos, California since June of 2025. Madison was previously registered both as a broker and investment advisor with WESTERN INTERNATIONAL of Los Alamitos, California from November of 2012 – June […]

Investors potentially experienced sales practice violations by securities broker Leslie Lyn Little (also known as Leslie Lyn Gardner) [CRD: 2886719, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leslie Little has worked for J.P. Morgan Securities LLC since October 1, 2012. Investors are encouraged to continue reviewing the details […]

Investors apparently complained about securities broker Michael Robert Dandrea [CRD: 5919930, Melville, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Dandrea worked for Sovereign Global Advisors LLC from September 13, 2016, to February 23, 2024, and is currently registered with Arete Wealth Management LLC and Arete Wealth Advisors […]

Investors have reportedly disputed the sales practices of securities broker Timothy Patrick Sweeney [CRD: 2669172, Santa Barbara, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Sweeney has worked for Centaurus Financial Inc. beginning on September 9, 2015, and previously worked for Raymond James Financial Services Inc. during earlier periods of his […]