Investors potentially incurred losses because of securities broker Eduardo Leon Jr. [CRD: 2232647, Houston, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Leon has been registered with Global Financial Services, L.L.C. since July 12, 1994, serving clients through the firm’s Houston office. Keep reading for details about the disclosures […]

FINRA barred securities broker Ian A. Geeves [CRD: 5328479, Carlsbad, California], and an investor complained about him, according to disclosures on FINRA BrokerCheck. Evidently, Ian Geeves worked for Vanderbilt Securities LLC from February 15, 2022, to November 16, 2023, and for LPL Financial LLC from November 15, 2017, to January 14, 2022. Continue reading to […]

Investors have reportedly disputed the sales practices of securities broker Michael Jerome Lickiss Jr. [CRD: 5135936, Danville, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Lickiss worked for Purshe Kaplan Sterling Investments from July 3, 2024, to January 13, 2025; Arkadios Capital from December 6, 2021, to July 5, […]

LINCOLN LUCAS MASON (LINCOLN L MASON) formerly of Edward Jones of Arnolds Park, Iowa, from 03/29/2019 - 12/23/2021, was suspended for 90 days and fined $5,000.00 by FINRA. Mason was previously registered both as an investment advisor and as a broker.  According to the FINRA report, without admitting or denying FINRA’s findings, LINCOLN L MASON […]

Investors possibly experienced sales practice violations by securities broker Joseph Frederick Eschleman (also known as Joe Eschleman) [CRD: 3237843, Sacramento, California], according to publicly available information on FINRA BrokerCheck. Evidently, Eschleman has been registered with Purshe Kaplan Sterling Investments since August 10, 2017, and with Towerpoint Wealth LLC since May 30, 2017. Read below for […]

Investors might have sustained losses because of securities broker Peter Joseph Kalmus [CRD: 1522531, Liverpool, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kalmus has been registered with IBN Financial Services Inc. since February 16, 2015. Read on to find out more about the disclosures concerning this securities broker. IBN […]

Investors apparently complained about investment adviser Claud Arthur Haws Sr. (also known as Art Haws) [CRD: 2051664, Franklin, Tennessee], according to public information on FINRA BrokerCheck. Evidently, Haws worked for Mercer Global Advisors Inc. as a Senior Wealth Advisor and Director from January 1, 2022, to the present, and previously for HawsGoodwin Investment Management LLC […]

Investors have reportedly disputed the sales practices of securities broker Russell Taylor Jones [CRD: 1383542, Troy, Michigan], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jones worked for SagePoint Financial Inc. from August 13, 2010, to November 12, 2020. Continue reading for details about Jones’s disclosures and investor disputes. SagePoint […]

Investors potentially experienced sales practice violations due to securities broker Terry William Griffith [CRD: 4937497, Watertown, Massachusetts], according to disclosures on FINRA BrokerCheck. Evidently, Griffith worked for UBS Financial Services Inc. in Peabody, Massachusetts, from May 14, 2014, to May 15, 2024, and has been registered with Independent Financial Group LLC in Watertown, Massachusetts, since […]