Investors potentially experienced sales practice violations by securities broker Ivan Michael West [CRD: 4921015, San Clemente, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. West worked for WestPark Capital Inc. from November 1, 2017, to June 8, 2020, and has been registered with American Trust Investment Services Inc. since June […]

Investors apparently complained about securities broker Steven Bae Cho [CRD: 2610257, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cho worked for Herbert J. Sims Co. Inc. beginning on February 1, 2019, and later became registered with Herbert J. Sims Capital Management Inc. on August 18, 2021, after previously […]

Investors might have sustained losses due to securities broker Joseph Philip Tartaglini Jr. [CRD: 4963465, Reno, Nevada], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tartaglini has been registered with J.P. Morgan Securities LLC since August 18, 2017, where he has served as both a broker and an investment adviser. Investors […]

Investors have reportedly disputed the sales practices of securities broker Lawrence Aloysius Whipple III (also known as Trey Whipple) [CRD: 2701809, Wayzata, Minnesota], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Whipple worked for Merrill Lynch from September 4, 2015, to October 3, 2025. Investors are encouraged to continue reading to […]

Investors potentially experienced sales practice violations by securities broker Brett Michael Frum [CRD: 2175253, Green Bay, Wisconsin], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frum worked for AEI Securities Inc. from April 7, 2021, to August 17, 2021, and later became registered with KCD Financial Inc. beginning November 3, 2021, including registrations […]

Investors apparently complained about securities broker Troy Lee Robertson [CRD: 6831574, San Diego, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robertson has been registered with Emerson Equity LLC since April 30, 2024, and previously worked with Copley Financial Group Inc. beginning July 20, 2017. Investors are encouraged to review […]

Investors potentially incurred losses because of securities broker Michael William Jarvis [CRD: 2160274, McKinney, Texas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jarvis worked for Cetera Wealth Services LLC beginning on November 1, 2017, and later became registered with Cetera Investment Advisers LLC on June 29, 2023, after previously being […]

Investors might have sustained losses due to securities broker Ronald Norman York Jr. [CRD: 4308987, Wall, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. York worked for Triad Advisors LLC from March 21, 2014, to April 30, 2019, and he has been registered with Arkadios Capital and Arkadios Wealth Advisors since […]

Fariba Z Madison (Fariba Zehtabian Madison, Fariba Zehtabian) is currently registered as an investment advisor and as a broker with VANDERBILT SECURITIES, LLC of Los Alamitos, California since June of 2025. Madison was previously registered both as a broker and investment advisor with WESTERN INTERNATIONAL of Los Alamitos, California from November of 2012 – June […]