FINRA barred securities broker Anthony George Saab (also known as AG Saab) [CRD: 408501, Dallas, Texas], and an investor complained about him, according to public information on FINRA BrokerCheck. Evidently, Saab worked for The Fig Group LLC from June 9, 2005, to November 1, 2022, and later for Sunbelt Securities Inc. from September 9, 2022, […]

Investors potentially incurred losses because of securities broker Michael Cheng Ning (also known as Makoto Ning) [CRD: 1229733, Scottsdale, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ning worked for Arque Capital, Ltd. from December 21, 2005, to June 16, 2023. Continue reading to find out more about the disclosures involving […]

Investors apparently complained about securities broker Thomas Abbitt Jenkins Jr. (also known as Tom Jenkins) [CRD: 2562513, Houston, Texas], according to publicly available information on FINRA BrokerCheck. Evidently, Thomas Jenkins has been registered with UBS Financial Services Inc. in Houston, Texas since September 7, 2010, where he also serves as an investment adviser representative since […]

Investors have reportedly disputed the sales practices of securities broker Richard Michael Ciraco [CRD: 825969, New York, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ciraco has worked for J.P. Morgan Securities LLC since June 6, 2002, and has also been registered as an investment adviser with the same […]

Investors possibly experienced sales practice violations by securities broker Edward Boyd Stephens [CRD: 4324797, Greensboro, North Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Stephens worked for Raymond James Financial Services Inc. from May 23, 2016, to November 11, 2024, and has been affiliated with 1808 Capital Partners as Partner and Director of Financial Planning […]

Investors might have sustained losses because of securities broker Brian Cantel [CRD: 1743229, Flowery Branch, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cantel has been registered with Berthel Fisher Company Financial Services Inc. since January 3, 2006, and also worked as an investment adviser with the same firm beginning […]

Investors apparently complained about securities broker Timothy Richard Yee [CRD: 2492578, Alameda, California], according to publicly available information on FINRA BrokerCheck. Evidently, Yee has been registered with Independent Financial Group LLC since July 8, 2015, and previously worked for LPL Financial LLC from May 30, 2014, to June 10, 2015. See the following summary for […]

Investors have reportedly disputed the sales practices of securities broker Kyle Mitchell McLaughlin [CRD: 2614967, Cincinnati, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McLaughlin worked for Morgan Stanley from September 23, 2013, to August 27, 2024, and currently works for RBC Capital Markets LLC since August 22, 2024. Read below […]

Investors potentially experienced sales practice violations due to securities broker James John Raia [CRD: 2397301, Ridgewood, New York], according to public information on FINRA BrokerCheck. Evidently, Raia worked for Moloney Securities Co. Inc. from February 1, 2018, to June 4, 2025, and is currently registered with Emerson Equity LLC in Irvine, California, since May 7, […]