Investors potentially incurred losses because of securities broker Donald Richard Abaunza Jr. [CRD: 3172450, Harvey, Louisiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Abaunza has worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC since August 10, 2022, and previously worked for Hancock Whitney Investment Services Inc. from February […]

Investors potentially experienced sales practice violations by securities broker Daniel L. Erben [CRD: 2994110, Saddle Brook, New Jersey], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Erben worked for TD Private Client Wealth LLC from October 18, 2018, to March 4, 2026, and became registered with Oppenheimer Co. Inc. in April 2026. […]

Soreide Law Group is investigating potential investor claims involving J.P. Morgan Securities LLC (JPMS) after FINRA sanctioned the firm over supervisory failures involving a high-risk, leveraged investment strategy. Investors who suffered losses through this strategy may have legal options and should read below for details about FINRA's action against J.P. Morgan Securities. What Was The […]

FINRA barred securities broker Alan K. Ngo [CRD: 4273116, Freehold, New Jersey], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ngo worked for PFS Investments Inc. from January 2, 2003, to November 25, 2025. See below to learn more about Ngo’s disclosures. FINRA Sanctioned Ngo For Failing To Comply During Investigation […]

Investors potentially incurred losses because of securities broker Chad Evan Polin [CRD: 4233680, Fort Washington, Pennsylvania], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polin worked for BB&T Securities LLC from January 2, 2018, to February 17, 2021, and later worked for Truist Investment Services Inc. and Truist Advisory Services […]

Investors have reportedly disputed the sales practices of securities broker John Edward Ledford [CRD: 2960837, Orlando, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ledford worked for Ameriprise Financial Services LLC from September 5, 2014, to June 23, 2020, and later joined Fortress Wealth Group LLC in June 2020, where he has […]

Soreide Law Group is investigating potential investor claims involving the sale of Joint Powers Authorities (“JPA”) municipal bonds by securities brokers and financial advisors for possible sales practice violations. JPA municipal bonds are debt securities issued through public agency partnerships, often marketed as conservative, tax-advantaged investments for income-focused investors. However, there is growing adverse information […]

Investors potentially experienced sales practice violations by securities broker Erick George Revelle (also known as Erick Kuebler) [CRD: 2319437, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Erick Kuebler has been registered with Sanders Morris LLC as a securities broker since November 22, 2016, and as a financial advisor since December […]

Investors have reportedly disputed the sales practices of securities broker Daniel Lawrence Polansky [CRD: 4580954, Clifton Park, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Polansky worked for American Portfolios Advisors Inc. and American Portfolios Financial Services Inc. from March 2018 to October 2024, and he has been […]