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 […]

Michael Jay Lader, also known as Mike Lader (CRD: 5158093), is a securities broker based in Jupiter, Florida, whose FINRA BrokerCheck record includes a client dispute alleging investment losses. He worked for Edward Jones from July 25, 2006, to October 12, 2023; LPL Financial from October 10, 2023, to November 5, 2024; and NewEdge Advisors […]

Brad Joseph Katzer (CRD: 6627091), a securities broker based in Port Washington, Wisconsin, was named in a client complaint alleging investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Katzer has been registered with Equitable Advisors LLC as a broker since October 2, 2017, and as a financial advisor since May 9, 2018. Here’s […]

Matthew Gafoa Fetui III, also known as Gafoa Matthew Fetui III (CRD: 5511717), is a securities broker in Costa Mesa, California, involved in a client arbitration concerning alleged investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Fetui worked for U.S. Bancorp Investments from May 10, 2019, to February 16, 2024. He joined […]

Samuel Jonathan Duckett [CRD: 5820876], a securities broker based in Austin, Texas, disclosed a pending client complaint alleging possible investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Duckett worked for Morgan Stanley from February 25, 2020, to July 17, 2026, and joined UBS Financial Services on July 15, 2026. Here is a […]

Daniel Zlotnick (CRD: 1177472), a former securities broker in Melville, New York, is named in a client dispute involving alleged investor losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Zlotnick worked for LPL Financial LLC from April 28, 2016, to May 4, 2021; Triad Advisors LLC from April 30, 2021, to August 23, […]

Securities broker Jason Earl Comer [CRD: 4247527], based in Westlake, Texas, is the subject of a client complaint involving alleged investor losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck records. Comer has been registered with Charles Schwab Inc. since September 6, 2016, and with Schwab Wealth Advisory Inc. since September 7, 2016. Here is […]

Reed Haimson [CRD: 5533993], a securities broker based in Chicago, Illinois, disclosed a client arbitration over investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Haimson worked for Great Point Capital LLC from December 13, 2019, to May 1, 2026, and worked for Great Point Advisors LLC from May 22, 2020, to December […]

Keegan De Silva (CRD: 7227138), a securities broker based in Chicago, Illinois, is named in a client arbitration involving alleged investment losses, according to disclosures in Financial Industry Regulatory Authority (FINRA) BrokerCheck. De Silva was registered with Great Point Capital LLC from March 4, 2020, to May 1, 2026, and has been registered with Quincy […]