One or more investors possibly experienced losses due to securities broker Patrick Morehead [CRD: 6661646, Los Angeles, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, Morehead worked for American Trust Investment Services Inc. from January 27, 2020 to September 14, 2020, and with WestPark Capital Inc. from November 14, 2017 […]

Investors potentially experienced sales practice violations due to securities broker Donald Wells (also known as Don Wells) [CRD: 1217316, Seattle, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Wells worked for Titan Securities from March 4, 2010 to June 30, 2023, and is currently registered with Realta Equities Inc. in Wilmington, Delaware, and Realta Investment […]

Investors may have incurred losses because of securities broker Vincent Roland Bailey Sr. (also known as Vince Bailey) [CRD: 1845517, Batavia, Illinois], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Vincent Bailey worked for Berthel Fisher Company Financial Services Inc. from March 31, 2003 to November 26, 2024. Read below to […]

Investors might have sustained losses because of securities broker Sean Patrick McGerr [CRD: 2676426, Lincoln, Nebraska], based on publicly available information reported on FINRA BrokerCheck. Sean McGerr worked for UBS Financial Services Inc. from February 20, 2009, to February 23, 2021, and works for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since February […]

Investors potentially experienced sales practice violations because of securities broker George Gomez Sr. [CRD: 2156124, El Paso, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gomez Sr. worked for LPL Financial LLC starting January 19, 2017, and works for Strategic Financial Concepts LLC since September 9, 2019. See the following information to […]

Investors may have incurred losses because of securities broker William Thomas Avery [CRD: 2269289, Birmingham, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avery has worked with UBS Financial Services Inc. since August 16, 1996, operating out of both Birmingham and Detroit, Michigan offices. Keep reading to learn more about Avery’s disclosures […]

Investors apparently complained about securities broker Harry Allan Horn [CRD: 1031140, Lutherville, Maryland], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Harry Horn worked for Lincoln Financial Advisors Corporation from June 4, 1982, to April 22, 2022. Below, you can learn more about the disclosures involving Harry Horn, including serious allegations […]

One or more investors may have incurred losses due to securities broker James B. Dorney [CRD: 2997467, New Haven, Connecticut], according to publicly available information reported on FINRA BrokerCheck. James Dorney has worked with UBS Financial Services Inc. in New Haven and Milford, Connecticut, since March 27, 2009. See the following information to understand more […]

Investors potentially experienced sales practice violations because of securities broker Brent Stanley Pine [CRD: 1618007, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brent Pine worked for Geneos Wealth Management Inc. from March 17, 2010, to October 8, 2021, and later joined Cetera Advisor Networks LLC from October 1, 2021, to […]