Warning! Misconduct Alleged By Principal Securities Brokers Rick Bower, Steven Bohn, Brian Menzel Principal Securities, Inc. (CRD#: 1137, Des Moines, Iowa) is a Financial Industry Regulated Authority (“FINRA”) regulated brokerage firm. Additionally, the firm is as an investment adviser firm which the Securities and Exchange Commission (“SEC”) regulates. Apparently, since Principal Securities’ establishment, it made […]

INVESTOR ALERT!Customer Complaints About Ralph Quintana II, Centaurus Financial, Inc. Ralph Quintana II (CRD#: 2284803, Upland, California) is currently a broker for Centaurus Financial, Inc. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Quintana shows that at least five investors filed disputes about his conduct. Notably, Pruco Securities, LLC and Centaurus Financial, Inc. customers […]

Investor Alert! Complaints Against Joshua Johner, Stephen Hendy, Scott Nordblom PFS Investments Inc. (CRD#: 10111, Duluth, Georgia) is both an investment adviser firm regulated by the Securities and Exchange Commission (“SEC”) and brokerage firm regulated by the Financial Industry Regulatory Authority (“FINRA”). Currently, on FINRA BrokerCheck, the firm discloses seventeen regulatory events and two arbitrations. […]

Title goes here NYLife Securities LLC (CRD#: 5167, New York, New York) is a brokerage firm which Financial Industry Regulatory Authority (“FINRA”) regulates. Notably, the firm reports on FINRA BrokerCheck that on ten occasions, FINRA or another regulator filed an action against the firm for misconduct. Apparently, those actions concern the firm’s failure to conform […]

INVESTOR ALERT! MML Investors Terminates Michael Vogt, Aaron Black, Thomas Ebel, William Pitre MML Investors Services, LLC (CRD#: 10409, Springfield, Massachusetts) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm regulated by Securities and Exchange Commission (“SEC”). Apparently, the company is also known as MassMutual Financial Group, In Good […]

DEAN HARRISON GRANT (CRD#: 1945209), a 53 year-old financial advisor who was formerly affiliated with GFG Strategic Advisors, was arrested in Georgia on three counts of insurance fraud and theft by fiduciary, one count of forgery in the first degree, and two counts of trafficking a disabled or elderly person or resident, according to the […]

Attention: Soreide Law Investigating Clearway Energy Investment (NYSE: CWEN) Recommendations Soreide Law Group is investigating possible claims on behalf of investors who bought investments in Clearway Energy, Inc. (NYSE: CWEN) by way of their broker's or adviser's recommendations. Clearway Energy, Inc. is a publicly traded company focused on sustainable, modern and long-term assets located in […]

Merrill Lynch Customers File Disputes Concerning John Clark, Charles Watson, Akinwale Adebayo, Glenn Patti Merrill Lynch, Pierce, Fenner, & Smith Incorporated (CRD#: 7691, New York, New York) is a brokerage firm regulated by FINRA and investment advisor firm regulated by SEC. Notably, on 559 occasions, Merrill Lynch disclosed that a regulator pursued sanctions against the […]

JAY R WEISER (CRD#: 1511042) was barred by the Financial Industry Regulatory Authority (FINRA) on January 17, 2019, from acting as a broker or otherwise associating with a broker/dealer firm following allegations that he failed to cooperate with FINRA's requests for documents and for on-the-record testimony related to its investigation into his conduct regarding the […]