Investors potentially experienced sales practice violations by securities broker William David Morrison (also known as Bill Morrison) [CRD: 1556786, Oakbrook Terrace, Illinois], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Morrison has worked for B. Riley Wealth Management since July 22, 2022, and B. Riley Wealth Advisors Inc. since […]

Investors might have sustained losses because of securities broker Jason Douglas Stone [CRD: 5455271, Orange, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Stone worked for Arkadios Capital beginning March 7, 2024, and for Secura Financial beginning September 30, 2013; he previously worked for Crown Capital Securities […]

Investors potentially incurred losses because of securities broker Neal Edward Hayias [CRD: 854703, Melville, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hayias has worked for Equitable Advisors LLC since June 1, 2005, in a broker capacity and since August 29, 2008, as an investment adviser […]

Investors apparently complained about securities broker George Mauae Purdy [CRD: 5865750, Kailua Kona, Hawaii], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Purdy worked for Cetera Wealth Services LLC beginning on January 13, 2025, and for Cetera Investment Advisers LLC beginning on January 24, 2025, following prior registrations with firms […]

Investors have reportedly disputed the sales practices of securities broker Christopher John Browning (also known as Chris Browning and Christopher John Brownrigg) [CRD: 4786391, Scottsdale, Arizona], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Browning worked for Western International Securities from May 12, 2009, to February 5, 2024, and […]

Investors might have sustained losses because of securities broker Jonathan Robert Harvey [CRD: 4558464, Doylestown, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Harvey worked for Janney Montgomery Scott LLC as a broker since August 30, 2002, and as an investment adviser since March 30, 2006. Keep reading for […]

Investors apparently complained about securities broker Robert Harold Sweet (also known as Bob Sweet) [CRD: 4090608, El Paso, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Sweet joined Independent Financial Group, LLC as a broker on February 22, 2016, and as an investment adviser on March 23, 2016. Read below […]

Investors potentially experienced sales practice violations by securities broker Nathan Cole Wells [CRD: 5553359, Morrison, Illinois], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Wells worked for Voya Financial Advisors Inc. from February 2, 2012, to June 9, 2021; Cetera Advisor Networks LLC from June 9, 2021, to […]

Investors have reportedly disputed the sales practices of securities broker Douglas Mack Farris Jr [CRD: 2973692, Dayton, Ohio], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Farris has been registered with NYLIFE Securities LLC since February 11, 2004. Keep reading to learn more about disclosures involving this securities […]