Investors potentially incurred losses because of securities broker Mark Allen Carter [CRD: 6387371, Charlotte, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carter worked for Pruco Securities LLC from September 8, 2014, through March 25, 2024. Readers should see below to discover more about Carter’s disclosures and regulatory history. FINRA Sanctioned […]

Investors potentially experienced sales practice violations by securities broker Douglas John McCauley (also known as Doug McCauley) [CRD: 1257811, Arlington, Vermont], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Douglas McCauley worked for Madison Avenue Securities LLC from July 16, 2009, to December 31, 2024. Investors should continue reading to find out […]

Investors apparently complained about securities broker Paul Richard Meyer [CRD: 3062534, Minnetonka, Minnesota], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Meyer has worked for RBC Capital Markets LLC beginning on October 11, 2017, where he has been registered as both a broker and investment adviser. Keep reading to discover more […]

MICHAEL RODGER PINEDA (MICHAEL R PINEDA) is currently registered as an investment advisor with LIFEMARK SECURITIES CORP. of Denver, Colorado since 9/19/2017. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MICHAEL R PINEDA has been in the securities industry for 30 years, has been listed with 13 firms, and has 3 disclosures on […]

Did your financial advisor recommend Priority Income Fund Class R2? You may be holding a high-risk investment that has lost over half its value. Our firm is investigating potential claims of unsuitable investment recommendations regarding Priority Income Fund Class R2. Marketed to retail investors as a steady income generator, this fund is actually a complex, high-risk […]

AARON PIERCE SEVIGNY (AARON P SEVIGNY) has been registered, since 2006, both as a broker and an investment advisor with UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER in Bonita Springs, Florida. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, AARON P SEVIGNY has been in the securities industry for 22 […]

Investors have reportedly disputed the sales practices of securities broker Robert Lee Anderson III [CRD: 2355813, Hiawassee, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Anderson has been registered with Raymond James Financial Services Inc. since January 4, 1999, and with Raymond James Financial Services Advisors Inc. since January […]

Investors have reportedly disputed the sales practices of securities broker Todd Leonard Sherman [CRD: 2518209, Mount Laurel, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sherman worked for Raymond James Associates Inc. beginning on January 27, 2017, after previously working for Morgan Stanley from June 1, 2009, to […]

Investors potentially incurred losses because of securities broker Timothy John Sherer (also known as Tim Sherer) [CRD: 833618, Los Gatos, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sherer worked for Emerson Equity LLC beginning April 15, 2019, after previously working for Sandlapper Wealth Management LLC and Sandlapper […]