Investors apparently complained about securities broker Rogers Kenneth Haydon III [CRD: 4452565, Atlanta, Georgia], according to disclosures on FINRA BrokerCheck. Evidently, Haydon worked for Raymond James & Associates Inc. from February 13, 2013, to September 4, 2025. Keep reading to find out more about the disclosures involving this individual. Raymond James Terminated Haydon For Violating […]

Investors have reportedly disputed the sales practices of securities broker Jose Abel Gamez (also known as Joe Gamez) [CRD: 4292479, San Antonio, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jose Gamez worked for Raymond James Financial Services Inc. from April 3, 2017, to July 7, 2025. See the […]

Investors apparently complained about securities broker Charles Kenneth Wareham [CRD: 2193537, Hartford, Connecticut], according to publicly available information on FINRA BrokerCheck. Evidently, Charles Wareham has been registered with Independent Financial Group LLC since March 14, 2014. Readers are encouraged to continue below for details about the disclosures involving Wareham. Independent Financial Group LLC Investor Accused […]

Investors have reportedly disputed the sales practices of securities broker Samuel E. Barber [CRD: 4750380, Naugatuck, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Barber has worked with Lifemark Securities Corp. since May 12, 2017, and was previously registered with MML Investors Services LLC in Norwalk, Connecticut, from August 10, […]

Soreide Law Group, based in Pompano Beach, Florida, has been investigating the former Merrill Lynch, Boca Raton, Florida broker/investment advisor, ISAIAH THOMAS WILLIAMS JR, (ISAIAH T WILLIAMS JR, ISAIAH T WILLIAMS). Williams worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INC in Boca Raton from 2017 until his “voluntary resignation” in December of 2024. The […]

Investors apparently complained about securities broker Jesus Quezada [CRD: 5117930, Alhambra, California], according to public information on FINRA BrokerCheck. Evidently, Quezada has been registered with Alexander Capital L.P. since January 3, 2023, and Alexander Capital Wealth Management LLC since January 4, 2023. Previously, he worked for Crown Capital Securities L.P. from February 27, 2017, to […]

Investors have reportedly disputed the sales practices of securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Tighe worked for Morgan Stanley from June 1, 2009, to January 14, 2025. Keep reading for details about Tighe’s disclosures. Morgan Stanley Disaffiliated With Tighe For Alleged […]

FINRA barred securities broker Harry Harper Warnick [CRD: 6916323, New York, New York], according to public information on FINRA BrokerCheck. Evidently, Warnick worked for Spartan Capital Securities LLC from December 13, 2022, to September 12, 2024. Read below to discover more about the disclosures involving Warnick. FINRA Barred Warnick For Failure To Comply With Investigation […]

Investors might have sustained losses because of securities broker Anita Louise Lester (also known as Anita Lester Wolfe) [CRD: 4478199, Chicago, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anita Lester worked for Berthel Fisher Company Financial Services Inc. from July 26, 2013, to October 11, 2018. Read on to learn […]