Investors might have sustained losses due to securities broker Ernest Adolf Stiba Jr. (also known as Ernie Stiba Jr.) [CRD: 1254994, Waco, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ernest Stiba worked for Lion Street Financial LLC and Lion Street Advisors LLC from September 22, 2016, to November 3, […]

Investors apparently complained about securities broker Kirk Mitchell [CRD: 4590715, Seattle, Washington], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Balin worked for Householder Group Estate Retirement Specialists from December 11, 2013, to September 11, 2025, Gateway Wealth Partners LLC from September 8, 2025, to February 6, 2026, and has been […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against:  WEDBUSH SECURITIES INC. (Respondent). The Claimant resides in Hawaii.  According to the lawsuit, the Claimant brings this claim to recover losses allegedly caused by the Respondent. The Respondent’s former Financial Advisor, JONATHAN H MALINGER, allegedly made unsuitable and unauthorized trades […]

Investors may have suffered financial harm by securities broker Joshua Keith Rushing (also known as Josh Keith Rushing) [CRD: 6399994, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joshua Rushing worked for Cetera Advisors LLC from December 1, 2023, to June 9, 2025, and previously worked for Edward Jones from November […]

Investors potentially experienced sales practice violations by securities broker Patricia Walker Pick (also known as Patricia Ann Pick and Patricia Ann Walker) [CRD: 726788, Vienna, Virginia], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Patricia Pick worked for Hightower Securities LLC from January 30, 2015, to June 5, 2023. Read on […]

Investors potentially incurred losses because of securities broker Ryan Anthony Derks [CRD: 5751523, Lee's Summit, Missouri], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ryan Derks worked for Berthel Fisher Company Financial Services Inc. from August 22, 2019, to September 30, 2021. See the following information to discover more about disclosures […]

Investors apparently complained about securities broker Christopher Stephen Johnson [CRD: 2041695, Cary, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Johnson worked for Raymond James Associates Inc. from August 16, 2019, to May 5, 2026. See below to discover more about the client disputes reported on Johnson's FINRA […]

Investors may have suffered financial harm by securities broker Wen Che [CRD: 6911319, Irvine, California], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Che has worked for Emerson Equity LLC as a securities broker since May 7, 2019, and as a financial advisor since May 8, 2019. Che also worked for Independent Financial […]

Investors potentially experienced sales practice violations by securities broker Toni Lynn Iannarelli (also known as Toni Lynn Sidona) [CRD: 1193641, Westlake Village, California], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Toni Iannarelli worked for Western International Securities Inc. and Western International Securities from November 16, 2015, to June 5, 2025, […]