Investors potentially incurred losses because of securities broker Kenneth Joseph Arena (also known as Ken Arena and Kenny Arena) [CRD: 6997, Pompano Beach, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Arena worked for Cetera Wealth Services LLC from December 1, 2023, to the present, Cetera Investment Advisers LLC […]

Investors have reportedly disputed the sales practices of securities broker Richard James Roberts (also known as Rick Roberts) [CRD: 2145874, Laguna Niguel, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Roberts has worked for TCFG Wealth Management LLC since December 11, 2012. Read on to find out more […]

Investors potentially incurred losses because of securities broker Dan John Holzer [CRD: 5779187, Wilmington, Delaware], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Holzer worked for Emerson Equity LLC from November 12, 2013, to September 14, 2022, and has been registered with Realta Equities Inc. since September 7, 2022, and Realta Investment […]

Investors potentially experienced sales practice violations by securities broker Martin S. Berman [CRD: 2406962, Los Angeles, California], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin Berman worked for Cetera Advisors LLC from September 8, 2022, to the present, Cetera Investment Advisers LLC from November 12, 2020, to the present, and previously for […]

Investors might have sustained losses due to securities broker Derek Guy McLean [CRD: 1939560, Chino, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McLean worked for First Allied Securities Inc. from May 30, 2008, to September 8, 2022, and later registered with Cetera Investment Advisers LLC on November 12, 2020, […]

Investors potentially incurred losses because of securities broker Danny Ray Strain [CRD: 437903, Columbus, Georgia], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Strain worked for Cape Securities Inc. since November 3, 2008, Cape Investment Advisory Inc. since February 6, 2009, and Global Investment Advisory since March 19, 2026. Investors are encouraged to […]

Investors potentially experienced sales practice violations by securities broker James Patrick Jenkins [CRD: 5261717, Logan, Utah], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jenkins worked for Wealth Enhancement Brokerage Services LLC and Wealth Enhancement Advisory Services LLC since January 2, 2026, and previously worked for firms including Strategic Advocates LLC from September […]

Investors potentially experienced sales practice violations by securities broker Christopher Daniel Tully [CRD: 870889, New Rochelle, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Tully worked for Oppenheimer Co. Inc. from February 17, 2009, and has remained registered with the firm since November 18, 2011. Read on for […]

Investors might have sustained losses due to securities broker Kevin Michael Ross [CRD: 2290136, Charlotte, North Carolina], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kevin Ross worked for Bridgeway Wealth Partners LLC from August 24, 2020, to December 31, 2023, and later for Cape Securities Inc. from December 7, 2023, […]