One or more investors possibly experienced losses because of securities broker Carl Damien Gill [CRD: 1076361, Troy, Michigan], according to disclosures on FINRA BrokerCheck. Evidently, Gill worked for United Planners’ Financial Services of America from November 14, 2011, to December 4, 2015. Keep reading to learn more about Gill’s disclosures and the disputes that investors […]

Investors might have sustained losses through securities broker David Michael Smith Sr. [CRD: 850797, Vero Beach, Florida], according to publicly available information on FINRA BrokerCheck. Evidently, Smith worked for Intervest International Equities Corporation from September 28, 1995, to February 14, 2025, Intervest International Inc. from August 12, 2005, to March 19, 2025, and more recently […]

Investors reportedly complained about securities broker Michael Joseph Whitaker [CRD: 6316100, The Villages, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Whitaker worked for Newbridge Securities Corporation from April 10, 2014, to March 24, 2025. Keep reading to learn more about the disclosures involving Whitaker and the allegations connected to his […]

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 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. […]