Investors potentially incurred losses because of securities broker William Lee Notrica [CRD: 817537, Laguna Niguel, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Notrica worked for RBC Capital Markets LLC from February 25, 2004, to February 18, 2022, and has been registered with Aegis Capital Corp. since February 24, 2022. Investors […]

Investors potentially experienced sales practice violations by securities broker John Francis Femiano [CRD: 2132030, Red Bank, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Femiano worked for Alexander Capital LP beginning April 6, 2023, previously for A.G.P. / Alliance Global Partners from May 18, 2021, to April 25, […]

Investors have reportedly disputed the sales practices of securities broker Scott David Coonrod [CRD: 4311374, Bend, Oregon], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Coonrod worked for FSC Securities Corporation from October 6, 2017, to December 31, 2022. Keep reading to discover more about disclosures involving this securities broker. FSC […]

REIT Investors The recent announcement that Braemar Hotels & Resorts (NYSE: BHR) has formed a special committee to explore strategic alternatives, including a potential sale, serves as a stark warning to investors in the lodging REIT sector. While management frames this move as an effort to "unlock shareholder value" and address "shareholder activism," a closer […]

Investors apparently complained about securities broker Jeffrey Allen Morris [CRD: 2478499, Estes Park, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Moloney Securities Co. Inc. from March 16, 2012, to December 5, 2025, and Moloney Securities Asset Management LLC from December 9, 2016, to December 5, 2025. Continue reading […]

Investors potentially incurred losses because of securities broker Joseph Henry Johnson [CRD: 1312422, Woodbury, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joseph Johnson worked for Vanderbilt Securities LLC beginning on February 2, 2011, and later became registered with Vanderbilt Advisory Services on October 26, 2016. Investors should continue […]

Investors potentially experienced sales practice violations by securities broker Derek Wilhelm Malone [CRD: 5495233, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Derek Malone has been registered with Osaic Institutions Inc. (also known as Infinex Investments) since July 1, 2016, where he worked as a broker and investment […]

Investors might have sustained losses due to securities broker Jason Kimber [CRD: 6244188, Logan, Utah], based on disclosures on Financial Industry Regulatory Authority BrokerCheck. Jason Kimber worked for J.W. Cole Financial Inc. beginning May 8, 2018, and later became registered with J.W. Cole Advisors Inc. starting November 24, 2020. The information below summarizes client disputes […]

Investors might have sustained losses because of securities broker Timothy Allen Nobles Jr. (also known as Tim Nobles) [CRD: 3261124, Spirit Lake, Iowa], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that he has been registered with Investment Planners Inc. since November 9, 1999, and with IPI Wealth Management […]