Investors have reportedly disputed the sales practices of securities broker William Hohill Song [CRD: 4008256, Bakersfield, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Song has worked for LPL Financial LLC since November 30, 2022, after previously being registered with Wells Fargo Clearing Services LLC from December 7, 2017, […]

Investors have reportedly disputed the sales practices of securities broker Patrick H. Siria (also known as Pat H. Siria) [CRD: 2561101, Lexington, Kentucky], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Siria worked for Cetera Investment Services LLC from June 20, 2019, to October 23, 2023. See below for […]

Investors apparently complained about securities broker Patrick Wayne Norris [CRD: 5119082, Vero Beach, Florida], according to disclosures found on FINRA BrokerCheck. Evidently, Norris has worked for Fidelity Brokerage Services LLC since March 27, 2024, and Strategic Advisers LLC since March 31, 2025. His prior employment includes Fidelity Personal and Workplace Advisors from April 23, 2024, […]

Investors possibly experienced sales practice violations by securities broker Kevin Dauphinee [CRD: 5847437, Las Vegas, Nevada], according to public information on FINRA BrokerCheck. Evidently, Dauphinee worked for Portsmouth Financial Services from February 28, 2023, to October 18, 2023. See the following information to find out more about the disclosures related to Kevin Dauphinee. Understanding Breach […]

Investors might have sustained losses because of securities broker Leizl Manapsal Lacida (also known as Leizl Manapdal Lacida) [CRD: 6393273, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lacida worked for NYLIFE Securities LLC from April 25, 2016, to October 2, 2024. Read below to learn more about […]

Investors apparently complained about securities broker Ignacio Carlos Tejera [CRD: 4422696, Coral Gables, Florida], according to public information on FINRA BrokerCheck. Evidently, Tejera has worked for Truist Investment Services Inc. since September 24, 2002, and for Truist Advisory Services Inc. since October 27, 2016. Read below to learn more about Tejera’s disclosures and investor complaints. […]

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, […]