Investors potentially incurred losses because of securities broker John Carl Blanck [CRD: 5251950, Wexford, Pennsylvania], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Blanck worked for The Leaders Group Inc. from May 3, 2011, to January 27, 2023, and has been associated with Success Wealth Management LLC since January 2023. Investors should keep […]

Investors potentially experienced sales practice violations by securities broker Nader M. Gandevani (also known as Ned Gandevani) [CRD: 2770412, Irvine, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gandevani worked for WestPark Capital Inc. from June 13, 2018, to March 6, 2020; Moloney Securities Co. Inc. from March 5, 2020, […]

FINRA fined and suspended securities broker Thomas Gregory Scheiman [CRD: 1508288, Parma, Ohio], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scheiman worked for Independence Capital Co. Inc. beginning March 8, 1990, and later served as an investment adviser with the same firm starting April 1, 2003. Investors can see below to […]

Investors apparently complained about securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Horowitz has worked with Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Continue reading to discover more about disclosures associated with Horowitz’s record. Wells Fargo […]

Investors potentially incurred losses because of securities broker Donald Edward Wallace [CRD: 1471984, Fort Lauderdale, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wallace worked for D.H. Hill Securities, LLLP from May 16, 2017, to October 5, 2023. Investors should continue reading to learn more about Wallace’s client dispute disclosures. […]

Investors potentially experienced sales practice violations by securities broker Arnold I. Irwin Alpert [CRD: 3919, Phoenix, Arizona], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Alpert worked for UBS Financial Services Inc. from August 17, 2006, to January 6, 2025, and was previously registered with Salomon Smith Barney Inc. earlier in his […]

Investors might have sustained losses due to securities broker David John Segarra [CRD: 4482059, Las Vegas, Nevada], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Segarra worked for LPL Financial LLC beginning January 22, 2024, and previously worked for Centaurus Financial Inc. from October 29, 2008, to January 19, 2024. Investors can see […]

Investors have reportedly disputed the sales practices of securities broker Michael Joseph Murray [CRD: 5034449, New York, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Murray worked for Laidlaw Company beginning on October 27, 2010, and remains registered with the firm. Keep reading to discover more about the disclosures […]

Investors potentially incurred losses because of securities broker Kerrie A. Coe (also known as Kerrie Cobb and Kerrie Lemon) [CRD: 4951159, Indianapolis, Indiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Coe worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC from January 21, 2014, to September 17, 2024, and […]