Investors apparently complained about securities broker Michael Joseph Kane III [CRD: 5099883, Sherman, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kane worked for Hilltop Securities Inc. from August 21, 2020, to June 13, 2023, Momentum Independent Network Inc. from May 1, 2023, to September 4, 2025, and LPL Financial LLC beginning […]

Investors potentially incurred losses because of securities broker David Brien Perkins [CRD: 1824251, Raleigh, North Carolina], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Perkins has been registered with Hatteras Capital Distributors LLC since June 20, 2007, and with Hatteras Investment Partners LP since January 5, 2018. Investors should keep reading […]

Investors potentially experienced sales practice violations by securities broker William Langston Laury Jr. [CRD: 5081969, Radnor, Pennsylvania], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Laury worked for Northwestern Mutual Investment Services LLC from April 19, 2016, to August 1, 2025, and later registered with MML Investors Services LLC beginning in August […]

Investors might have sustained losses due to securities broker Bryan Preston Lubitz [CRD: 4381244, Melville, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lubitz worked for Aegis Capital Corp. from August 31, 2015, to December 20, 2022, and has been registered with Equitable Advisors LLC since December 20, 2022. Keep reading […]

Investors have reportedly disputed the sales practices of securities broker Ricardo Nkrumah Rose (also known as Richard Rose) [CRD: 4225756, Brooklyn, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ricardo Rose worked for Arive Capital Markets from October 27, 2015, to April 23, 2024. Investors should keep reading to […]

Investors potentially incurred losses because of securities broker David Omori Bibo (also known as Dave Bibo) [CRD: 2602436, San Jose, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Bibo worked for Western International Securities Inc. from May 22, 1997, to July 1, 2022. Investors should keep reading to find out […]

Investors potentially experienced sales practice violations by securities broker Jason Bryce Vanclef [CRD: 5096529, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jason Vanclef worked for Westpark Capital Inc. from October 9, 2017, to January 27, 2020, and later associated with Delta Investment Management LLC from November 26, 2018, to […]

Investors apparently complained about securities broker Aaron Brian Graham [CRD: 3167246, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Aaron Graham worked for United Planners’ Financial Services of America A Limited Partner beginning August 2, 2005, and has also been registered with AG Financial since April 19, 2006. Continue […]

Investors might have sustained losses due to securities broker Gary Thomas Hughes [CRD: 1700976, Hermosa Beach, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gary Hughes worked for Concorde Investment Services LLC from June 12, 2013, to July 6, 2022. Investors can see below to learn more about the disclosures involving […]