One or more investors possibly experienced losses because of securities broker William Christopher Duffy (also known as Will Duffy) [CRD: 6726333, Lone Tree, Colorado], according to publicly available information on FINRA BrokerCheck. Evidently, Duffy worked for Innovation Partners LLC from August 9, 2022, to January 3, 2024, Sharenett Securities LLC from February 13, 2022, to […]

Investors potentially experienced sales practice violations due to securities broker Richard Dennis Laspaluto (also known as Rick Laspaluto) [CRD: 2541603, Las Vegas, Nevada], according to publicly available information on FINRA BrokerCheck. It appears that Richard Laspaluto joined Centaurus Financial Inc. on August 29, 2005, working as both a securities broker and financial advisor. Read the […]

Investors reportedly complained about securities broker John Robert Openshaw [CRD: 2306112, Green Bay, Wisconsin], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Openshaw worked for KCD Financial Inc. from April 11, 2018 to November 16, 2020. Read below to know more about Openshaw’s disclosures and how they may impact affected […]

One or more investors possibly experienced losses because of securities broker Gregory Malcolm McLeod (also known as Greg McLeod) [CRD: 2741097, Boca Raton, Florida], based on public information reported on FINRA BrokerCheck. Gregory McLeod joined Newbridge Securities Corporation on January 17, 2002. See the following information to find out more about the disclosures involving McLeod. […]

Investors reportedly complained about securities broker Christopher Thomas Brothers (also known as Chris Brothers) [CRD: 2186156, Fort Lauderdale, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Brothers joined Maxim Group LLC on November 18, 2009. See the following information to find out more about the disclosures related to Brothers and the […]

Investors potentially experienced sales practice violations due to securities broker John Francis Schlagheck [CRD: 1040673, Ottawa Lake, Michigan], according to publicly available information reported on FINRA BrokerCheck. John Schlagheck worked for Intervest International Equities Corporation from August 17, 2017 to October 5, 2022, and Cape Securities Inc. from October 18, 2022 to March 6, 2023. […]

Investors reportedly complained about securities broker James Edward McArthur [CRD: 2797856, Massapequa, New York], according to public information found on FINRA BrokerCheck. James McArthur worked for IBN Financial Services Inc. from April 1, 2021 to June 17, 2022; Traderfield Securities Inc. from January 9, 2019 to September 25, 2020; and American Portfolios Financial Services Inc. […]

Investors possibly experienced sales practice violations because of securities broker Peter Raymond Dorn [CRD: 1089858, McDonough, Georgia], according to disclosures on FINRA BrokerCheck. Evidently, Peter Dorn has worked for Cape Securities Inc. since June 16, 2017. Check out the following information about the securities broker’s disclosures. Cape Securities Inc. Investor Accused Dorn Of Unsuitable Recommendations […]

Investors potentially experienced sales practice violations because of securities broker Kurt Edward Stahl [CRD: 1890827, Sarasota, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kurt Stahl worked for Berthel Fisher Company Financial Services Inc. from November 25, 2014, to March 23, 2017, and has been registered as an investment adviser with […]