Investors have reportedly disputed the sales practices of securities broker Michael Geoffrey Minter [CRD: 2989575, Lutz, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Minter has been registered with Lifemark Securities Corp. since September 23, 2009, and as an investment adviser representative with the same firm since August 25, 2021. Read […]

Investors possibly experienced sales practice violations by securities broker Nicholas John Schlagheck [CRD: 6950609, McDonough, Georgia], according to publicly available information on FINRA BrokerCheck. Evidently, Schlagheck worked for Cape Securities Inc. from August 29, 2022, to July 15, 2025; Lincoln Investment from June 26, 2020, to January 11, 2022; and Intervest International Equities Corporation from […]

BARRY LUTHER BUCHOLZ (BARRY L BUCHOLZ) was fined $7,500, ordered to pay $7,480 in disgorgement and suspended for one month by the Financial Industry Regulatory Authority (FINRA). Bucholz, a former LPL Financial broker allegedly traded without authorization in four customers’ accounts. BARRY L BUCHOLZ was listed with LPL Financial LLC of Cedar Rapids, Iowa from 10/11/2021 […]

Investors might have sustained losses because of securities broker Zachary Donovan Werner [CRD: 7207877, Cincinnati, Ohio], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Werner has been registered with UBS Financial Services Inc. in Cincinnati, Ohio, since April 21, 2022. See the following information to find out more about the pending […]

Investors apparently complained about securities broker Edward Eric Fernandez [CRD: 2956661, Irvine, California], according to disclosures on FINRA BrokerCheck. Evidently, Edward Fernandez has been registered with Capulent LLC since October 5, 2017. Read below to discover more about the disclosures involving this securities broker. Capulent LLC Investor Accused Fernandez Of Unsuitable Recommendations Particularly, on August […]

Investors have reportedly disputed the sales practices of securities broker Alexis Leon Aldaz (also known as Alex Aldaz) [CRD: 3058560, Bonita, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Aldaz worked for Edward Jones from February 28, 2020, to September 24, 2025. Read on for details about the disclosures […]

Investors potentially experienced sales practice violations due to securities broker Kirk Edward Klein [CRD: 2260326, Gainesville, Florida], according to public information on FINRA BrokerCheck. Evidently, Klein worked for Valmark Securities Inc. from January 13, 1999, to February 28, 2025. Keep reading to learn more about this securities broker’s disclosures. Understanding Breach Of Fiduciary Duty Allegations […]

THOMAS GREGORY SCHEIMAN (THOMAS G SCHEIMAN) is currently listed as a broker since 1990 and as a financial advisor since 2003 with INDEPENDENCE CAPITAL CO., INC. of Parma, Ohio.  SCHEIMAN was recently fined $5,000.00, ordered to pay a disgorgement of $2,600.00, and was suspended for two months by FINRA. According to the FINRA report, THOMAS […]

Investors potentially incurred losses because of securities broker Guy Anthony Harrigan [CRD: 1817525, Boulder, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Harrigan worked for Lion Street Financial LLC from October 6, 2016, to September 18, 2023, and Triad Advisors Inc. from April 1, 2013, to October 7, 2016. See the […]