Investors potentially experienced sales practice violations due to securities broker Mark John Williams [CRD: 4061842, Carmel, California], based on disclosures on FINRA BrokerCheck. Williams worked for Kingswood Capital Partners LLC from November 9, 2021, to October 30, 2024, Forta Financial Group Inc. from March 12, 2021, to December 9, 2021, and Centaurus Financial Inc. from […]

FINRA sanctioned securities broker Ashlee Nicole Godfrey (also known as Ashlee Nicole Bramlett and Ashlee Nicole Sharp) [CRD: 5889108, Dalton, Georgia], and investors complained about her, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Godfrey worked for Wells Fargo Clearing Services LLC from February 14, 2014, to October 14, 2021, and […]

Investors apparently complained about securities broker Alain Alberto Ohayon (also known as Allen Alberto Ohayon) [CRD: 1180975, Melville, New York], based on publicly available information FINRA BrokerCheck. Evidently, Ohayon has been registered with Aegis Capital Corp. since September 17, 2013. Read on to discover more about the disclosures involving this broker. Aegis Capital Corp. Investor […]

Investors potentially experienced sales practice violations due to securities broker Suzette Lawrence (also known as Suzy Lawrence) [CRD: 2651541, Pasadena, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lawrence has worked for Independent Financial Group LLC since March 15, 2024, and previously was with D.A. Davidson Co. from November 25, 2013, […]

Investors reportedly complained about securities broker Michael Alexander Lackwood Jr. [CRD: 4742917, Rockaway, New Jersey], according to disclosures on FINRA BrokerCheck. Evidently, Lackwood worked for Oppenheimer Co. Inc. from September 6, 2011, to July 12, 2018, and APW Capital Inc. from August 10, 2018, to April 30, 2020. Read on to discover more about the […]

Investors potentially experienced sales practice violations due to securities broker Alan Bartlett Harrison (also known as Bart Harrison) [CRD: 1616987, Trussville, Alabama], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Harrison has been registered with Concorde Investment Services LLC since May 6, 2015. Read on to discover more about Harrison’s disclosures […]

Investors apparently complained about securities broker Joseph Michael Cason (also known as Joey Cason) [CRD: 2455720, Brunswick, Georgia], based on disclosures on FINRA BrokerCheck. Evidently, Cason has been registered with Osaic Wealth Inc. since August 23, 2024, and previously worked at Triad Advisors LLC in Brunswick, Georgia, from March 9, 2016, to August 23, 2024. […]

FINRA sanctioned securities broker Phillip Curtis Anderson [CRD: 814936, Roseville, California], and investors complained about him, based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anderson worked for Kingswood Capital Partners LLC from June 15, 2018, to June 30, 2023, and Niagara International Capital Limited from March 24, 2017, to June 15, […]

Investors might have sustained losses due to securities broker Joe Bryan Hall [CRD: 833873, Glendale, California], according to disclosures on FINRA BrokerCheck. Evidently, Hall worked for Berthel Fisher Company Financial Services Inc. from July 31, 2006, to April 6, 2021, and later for Cambridge Investment Research Inc. from April 5, 2021, to April 13, 2022. […]