Investors have reportedly disputed the sales practices of securities broker Glenn J. Romer [CRD: 4841915, Vero Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Romer worked for Center Street Securities Inc. from April 7, 2010, to November 14, 2023. Read on to find out more about Romer’s disclosures. […]

Investors potentially incurred losses because of securities broker Guy Anthony Harrigan [CRD: 1817525, Boulder, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Harrigan worked for Lion Street Financial LLC from October 6, 2016, to September 18, 2023, and Triad Advisors Inc. from April 1, 2013, to October 7, 2016. See the […]

Investors apparently complained about securities broker Jesus Quezada [CRD: 5117930, Alhambra, California], according to public information on FINRA BrokerCheck. Evidently, Quezada has been registered with Alexander Capital L.P. since January 3, 2023, and Alexander Capital Wealth Management LLC since January 4, 2023. Previously, he worked for Crown Capital Securities L.P. from February 27, 2017, to […]

Investors apparently complained about securities broker Walter Vincent Nelson (also known as Vince Nelson) [CRD: 2275929, Overland Park, Kansas], according to disclosures on FINRA BrokerCheck. Evidently, Walter Nelson worked for Arete Wealth Management LLC in Chicago, Illinois, and Arete Wealth Advisors LLC in Rockwall, Texas, from July 17, 2020, to May 1, 2025. He is […]

FINRA barred securities broker Anthony George Saab (also known as AG Saab) [CRD: 408501, Dallas, Texas], and an investor complained about him, according to public information on FINRA BrokerCheck. Evidently, Saab worked for The Fig Group LLC from June 9, 2005, to November 1, 2022, and later for Sunbelt Securities Inc. from September 9, 2022, […]

Investors have reportedly disputed the sales practices of securities broker Kevin Joseph Schaefer [CRD: 1286030, San Francisco, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kevin Schaefer has been registered with Wells Fargo Clearing Services LLC and Wells Fargo Advisors in San Francisco, California, since August 16, 2019. Previously, he worked […]

Investors potentially experienced sales practice violations because of securities broker Scott Erik Aabel (also known as Scott Eric Aabel) [CRD: 1493667, Osprey, Florida], based on disclosures on FINRA BrokerCheck. Evidently, Aabel worked for Spire Securities LLC from December 6, 2016, to April 14, 2025, and for Investors Capital Corp. from January 7, 2016, to August […]

Investors apparently complained about securities broker Jason Price Lamb [CRD: 3248356, Nashville, Tennessee], based on publicly available information on FINRA BrokerCheck. Evidently, Jason Lamb has been registered with Arete Wealth Management LLC since February 8, 2021, and previously worked for Center Street Securities Inc. in Soquel, California, from June 17, 2009, to December 1, 2023. […]

Investors apparently complained about securities broker Blake Edward Fellows [CRD: 4374810, Leesburg, Virginia], based on disclosures on FINRA BrokerCheck. Evidently, Fellows has been registered with Arkadios Capital since June 13, 2023, Wealthcare Capital Partners LLC since July 12, 2024, and Wealthcare Advisory Partners LLC since March 5, 2015. Previously, Fellows worked for Coastal Equities Inc. […]