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. […]

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 […]