Investors apparently complained about securities broker Benjamin Joseph Sweeney (also known as Ben Sweeney) [CRD: 2885369, Dallas, Texas], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benjamin Sweeney worked for Morgan Stanley from June 1, 2009, to the present. See the following information to learn more about disclosures involving Benjamin Sweeney. Morgan […]

Investors have reportedly disputed the sales practices of securities broker Richard James Roberts (also known as Rick Roberts) [CRD: 2145874, Laguna Niguel, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Roberts has worked for TCFG Wealth Management LLC since December 11, 2012. Read on to find out more […]

Investors might have sustained losses due to securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Investors should continue reading to find out more […]

Investors potentially experienced sales practice violations by securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sandy Leff worked for Carter Terry Company Inc. beginning on October 6, 2016, as a securities broker and beginning on October 21, 2016, as a financial advisor. Investors are […]

Investors potentially incurred losses because of securities broker Brady Thomas Lipp [CRD: 1359835, Milpitas, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brady Lipp worked for Great Point Capital LLC from February 20, 2021, to April 9, 2025, and has been registered with NI Advisors since April 10, 2025. […]

Investors apparently complained about securities broker Taylor Wilson Armstrong [CRD: 6984140, Kirkland, Washington], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Taylor Armstrong worked for Aurora Securities from April 28, 2021, to the present, Secure Asset Management, L.L.C. from May 3, 2021, to the present, Concorde Investment Services LLC from March 31, […]

Investors have reportedly disputed the sales practices of securities broker Steven J. Schenck Jr. (also known as Jim Schenck) [CRD: 4035283, Indianapolis, Indiana], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Steven Schenck worked for Merrill Lynch from June 1, 2007, to the present. See below to find out more […]

Investors potentially incurred losses because of securities broker Dan John Holzer [CRD: 5779187, Wilmington, Delaware], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Holzer worked for Emerson Equity LLC from November 12, 2013, to September 14, 2022, and has been registered with Realta Equities Inc. since September 7, 2022, and Realta Investment […]

Investors potentially experienced sales practice violations by securities broker Daniel Coral Goodwin (also known as Dan Goodwin) [CRD: 5752768, The Woodlands, Texas], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goodwin worked for AAG Capital Inc. from March 9, 2022, to June 6, 2024, Great Point Capital LLC from June 3, 2024, […]