Investors possibly experienced sales practice violations by securities broker John Howley Whalen [CRD: 1900188, Honolulu, Hawaii], according to public information on FINRA BrokerCheck. Evidently, Whalen has been registered with Commonwealth Financial Network in Honolulu, Hawaii, since May 29, 2015, and concurrently as an investment adviser representative with the same firm since June 2, 2015. Previously, […]

FINRA barred securities broker Ian A. Geeves [CRD: 5328479, Carlsbad, California], and an investor complained about him, according to disclosures on FINRA BrokerCheck. Evidently, Ian Geeves worked for Vanderbilt Securities LLC from February 15, 2022, to November 16, 2023, and for LPL Financial LLC from November 15, 2017, to January 14, 2022. Continue reading to […]

Investors possibly experienced sales practice violations by securities broker Patrick Joseph Groarke [CRD: 2213512, Blue Bell, Pennsylvania], according to public information on FINRA BrokerCheck. Evidently, Patrick Groarke worked for Wells Fargo Clearing Services LLC from June 20, 2013, to August 23, 2023, and has been registered with Cetera Wealth Services LLC since August 17, 2023, […]

Investors have reportedly disputed the sales practices of securities broker John Howard Saunders [CRD: 870131, Vero Beach, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Saunders has been registered with UBS Financial Services Inc. since May 11, 2007, operating from both Vero Beach, Florida, and Roanoke, Virginia. Read on to discover […]

Investors apparently complained about securities broker Mark Elliot Zorn [CRD: 2056837, Addison, Texas], based on disclosures on FINRA BrokerCheck. Evidently, Zorn worked for Kestra Investment Services LLC from January 9, 2007, to June 22, 2022, and later for Cetera Advisor Networks LLC from June 21, 2022, to August 8, 2024. Read on to find out […]

Investors potentially experienced sales practice violations because of securities broker Amy Nuttall Zwaan (also known as Amy Elizabeth Nuttall) [CRD: 4857906, Clovis, California], according to publicly available information on FINRA BrokerCheck. It appears that Nuttall Zwaan worked for LPL Financial LLC from November 14, 2022 to May 29, 2024. He works with Alexander Capital, L.P. […]

FINRA barred securities broker Linda Lucille Sokol Francis (also known as Linda Gundelach) [CRD: 811073, Brookfield, Illinois], and investors complained about her, according to disclosures on FINRA BrokerCheck. It appears that Sokol Francis worked for Waddell Reed from August 14, 1975 to July 21, 2021, and then for LPL Financial LLC from July 21, 2021 […]

Investors might have sustained losses because of securities broker Michael Paul Vauble [CRD: 1109895, Sac City, Iowa], according to disclosures on FINRA BrokerCheck. Michael Vauble worked for NYLIFE Securities LLC from June 8, 1983 to October 6, 2022. Read below to know more about the disclosures involving this broker. Vauble Accused Of Unsuitable Life Insurance […]

One or more investors possibly experienced losses because of securities broker Travis Loren Braulick [CRD: 6716541, New Ulm, Minnesota], based on public information found on FINRA BrokerCheck. Braulick joined Calton Associates Inc. on August 29, 2024. Prior to that, he worked for Bankers Life Securities Inc. in Rochester, Minnesota, from April 24, 2019 to September […]