Stephen Robert Spence, also known as Steve Spence (CRD: 2409165), a former securities broker in Appleton, Wisconsin, has been accused of violating firm policies, according to a Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosure. Spence worked for U.S. Bancorp Investments Inc. from August 14, 2008, to February 13, 2026, and for U.S. Bancorp Advisors LLC […]

Jerry Lynn Sleight (CRD: 1828591), a securities broker based in Roosevelt, Utah, has been registered with FBL Marketing Services LLC since June 1, 1993. Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures show that Sleight reported a pending written client complaint involving possible investor losses. Here is a closer look at what the client alleged. Client […]

According to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck, a client alleges that Dorris Glenn Jones (CRD: 735200), a securities broker in Nashville, Tennessee, caused the client to experience losses. Jones worked for Moloney Securities Co. Inc. from July 1, 2016, to December 5, 2025, and has worked for Berthel, Fisher Company Financial Services […]

Mary Webb Duffman (also known as Mary Joann Webb-Zelinsky and Mary Joann Zelinsky), a securities broker in Raleigh, North Carolina (CRD: 4651571), is the subject of a client complaint involving potential investor losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Duffman has been registered with Merrill Lynch as a broker since September 22, […]

John Russell Wilson (CRD: 4829852), a securities broker based in Ponte Vedra Beach, Florida, is involved in a client dispute concerning alleged investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Wilson has worked for Ameriprise Financial Services LLC since January 14, 2022. Before that, he worked for Wells Fargo Clearing Services LLC […]

Jeremiah Beguesse (CRD: 6121650), a former securities broker in Atlanta, Georgia, is among the defendants in an SEC case involving alleged misuse of investor funds and possible investor losses. Beguesse worked with Alexander Capital L.P. from May 2020 through August 2021. Here's a closer look at the allegations and his alleged role. SEC Alleges Jeremiah […]

Kevin Joseph Sierzant (CRD: 7223312), a former securities broker based in Newport Beach, California, worked for Merrill Lynch from February 18, 2020, to May 27, 2026. His Financial Industry Regulatory Authority (FINRA) BrokerCheck record includes an employment separation disclosure that may be relevant to investors who believe they were harmed because of his conduct. Here […]

Edward Richard Woolery (CRD: 6064191) is a financial advisor based in Indian Wells, California. He worked for DST Wealth Management LLC beginning on May 31, 2019. According to his Investment Adviser Public Disclosure (IAPD) report, Woolery disclosed a client dispute concerning alleged investment losses. Here is what the client alleges and how Woolery has responded. […]

Florence Benjamin Isaac (CRD: 6289898), a securities broker based in Chicago, Illinois, faced a client complaint involving alleged losses tied to a life insurance recommendation, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Isaac worked for Merrill Lynch from March 20, 2023, to April 10, 2023; Pruco Securities and Prudential Financial Planning Services […]