Troy Edward Miller (CRD: 1467502), a securities broker in Bozeman, Montana, is involved in a client arbitration over alleged investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Miller has worked for LPL Financial LLC since October 1, 2001, and Private Advisor Group LLC since August 4, 2021. He was previously registered with […]

Alfredo Banuelos Jr. (CRD: 5572634), a former securities broker in Castro Valley, California, worked for J.P. Morgan Securities LLC from October 1, 2012, to July 29, 2026. His Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures include a client dispute involving allegations of sales practice violations and possible investment losses. Here is what the client alleged […]

Coreen Sarah Kraysler (CRD: 2699785), a securities broker based in Boston, Massachusetts, faces Securities and Exchange Commission (SEC) allegations involving Netcapital Inc. Investors may have suffered losses related to the alleged conduct. Kraysler worked for Livingston Securities LLC, from October 4, 2018, to December 22, 2022, and has been registered with Netcapital Securities Inc. since […]

Gabriel Martin (CRD: 7815903), a former securities broker in Covington, Louisiana, worked for LPL Financial LLC from December 18, 2023, to December 19, 2024, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. A client complaint involving Martin raises concerns about possible investor losses. Here is a closer look at the complaint and where the […]

Matthew Edwin Greene (also known as Matt Greene; CRD: 3175382), a securities broker in Covington, Louisiana, is named in a client dispute involving alleged investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Greene has been registered with LPL Financial LLC since August 8, 2012, and with Pelican Advisory LLC since August 26, […]

Jacob Isaiah Harvey (CRD: 6410027), a securities broker in Plano, Texas, is named in a client dispute involving possible investor losses. BrokerCheck records from the Financial Industry Regulatory Authority (FINRA) show that Harvey worked with Concorde Investment Services LLC from February 3, 2020, to August 16, 2022, and Concorde Asset Management LLC from April 2, […]

Matthew Mitchell Chancey, also known as Matt Chancey (CRD# 5645874), is a securities broker based in Plano, Texas. His Financial Industry Regulatory Authority (FINRA) BrokerCheck record lists a pending client dispute alleging sales practice violations. Chancey was registered with Realta Equities from November 24, 2021, to July 6, 2026, and with Realta Investment Advisors from […]

Roderick Roxas Uy (CRD: 4945992), a securities broker based in Rancho Palos Verdes, California, is involved in a client lawsuit alleging investment losses, according to the Financial Industry Regulatory Authority's (FINRA) BrokerCheck records. Uy worked for LPL Financial LLC as a broker since January 24, 2011, and as a financial advisor since January 25, 2011. […]

Nicholas James Centis, also known as Nick Centis (CRD: 6187468), is a securities broker based in San Francisco, California. A client alleges that he made an unsuitable investment recommendation that caused losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. He worked for Stifel Nicolaus Company Incorporated from December 4, 2015, to October 26, […]