A recent article from The Charlotte Observer states that three Charlotte, North Carolina, financial advisors are facing a $17.5 million investor complaint over a life insurance financing strategy, according to a Financial Industry Regulatory Authority (FINRA) filing. DONALD P ROBBINS, president of ROBBINS FINANCIAL GROUP (under MML INVESTORS SERVICES) is named in a “Customer Dispute” […]

Financial Industry Regulatory Authority (FINRA) sanctioned securities broker Keith Wesley Schongar [CRD: 6215149, Greenwood Village, Colorado], based on public information on FINRA BrokerCheck. Schongar worked for TD Ameritrade Inc. from February 26, 2018, to January 11, 2021, and Empower Financial Services Inc. from January 5, 2023, to October 22, 2025. Continue reading to learn more […]

Securities broker Robert Leroy Metz [CRD: 7282890, Covington, Kentucky] is barred, given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Metz was registered with Fidelity Brokerage Services LLC from November 12, 2020, to June 18, 2025. Continue reading to find out more about the disclosures involving Metz. FINRA Barred Metz For Failure […]

Investors potentially incurred losses because of securities broker William Jeffrey Michero (also known as Jeff Michero) [CRD: 4617645, Fort Worth, Texas], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michero worked for Cambridge Investment Research Inc. from February 17, 2009, to August 25, 2021. See below to discover more about Michero’s disclosures. […]

NATHAN DANIEL GOAD (NATHAN D GOAD, NATE GOAD) has been listed as a broker with J. ALDEN ASSOCIATES, INC. of Wayne, Pennsylvania, since 1/7/2022.  Goad has been registered as an investment advisor with ALDEN INVESTMENT GROUP of Largo, Florida, since 7/28/2022. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, NATHAN D GOAD […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: THE STRATEGIC FINANCIAL ALLIANCE, INC., and their former registered representative, JAMES MICHAEL GAMBACCINI (JAMES M GAMBACCINI) (Respondents). The claims described below are allegations contained in the pending FINRA arbitration and have not been proven or adjudicated. The Respondents may deny […]

Investors apparently complained about securities broker Tim Daniel Clairmont [CRD: 2847591, Lake Oswego, Oregon], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Clairmont has worked for Cetera Wealth Services and Cetera Investment Advisers since January 3, 2025; ClearFP Securities from June 11, 2021, to January 3, 2025; ClearFP Advisors from October 23, […]

Investors potentially experienced sales practice violations by securities broker Fabio De Andrade (also known as Fabio Deandrade) [CRD: 4671838, Kansas City, Missouri], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. De Andrade worked for Merrill Lynch from October 11, 2004, to June 9, 2026. Investors are encouraged to continue reading to […]

Travis Alan Tom [CRD: 4762216, Littleton, Colorado] might have caused investors to sustain losses, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tom worked for Wells Fargo Clearing Services LLC from January 3, 2011, to April 7, 2026. Continue reading to discover more about Tom’s disclosures. Wells Fargo Client Accused Tom Of Unauthorized […]