Investors potentially experienced sales practice violations by securities broker LI Kelly (also known as LI Ding) [CRD: 6115397, Brooklyn, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kelly worked for LPL Enterprise LLC from February 18, 2025, to November 12, 2025, HSBC Securities (USA) Inc. from October 10, […]

Investors apparently complained about securities broker Ian Christopher McElreath [CRD: 4754189, Atlanta, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McElreath worked for Ameritas Investment Company LLC from November 26, 2019, to April 6, 2021; 20/20 Capital Management, Inc from January 17, 2020, to April 20, 2021; Emerson Equity […]

Investors might have sustained losses due to securities broker Bradley Owen Davidson [CRD: 5142256, Mission Viejo, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Davidson has been registered with Emerson Equity LLC since February 2, 2024, and previously worked for firms including Secure Asset Management LLC from February 22, […]

Investors potentially experienced sales practice violations by securities broker Zhi Ying Guan (also known as Jeff Guan and Jeffrey Guan) [CRD: 7000349, San Mateo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zhi Guan worked for Emerson Equity LLC since December 18, 2020. Keep reading for a better understanding about the disclosures […]

Investors apparently complained about securities broker Brittany Danielle Slater-Gautreau (also known as Tany Gautreau and Tany Slater) [CRD: 4885737, Overland Park, Kansas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brittany Slater-Gautreau worked for Westpark Capital Inc. from November 20, 2017, to October 30, 2020, American Trust Investment Services Inc. from […]

Investors potentially experienced sales practice violations by securities broker James Charles Killeen [CRD: 2666093, Pasadena, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Killeen worked for Stifel Nicolaus Company Incorporated from July 6, 2009, to February 23, 2024. Read on to discover more about the disclosures involving this securities […]

Investors potentially experienced sales practice violations by securities broker Jeffrey Michael Thure [CRD: 2687213, Melville, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffrey Thure worked for Aegis Capital Corp. from May 2, 2013, to the present, and previously worked for Maxim Group LLC from October 23, 2002, to April 30, […]

Investors have reportedly disputed the sales practices of securities broker Anthony Raymond D'Ascoli (also known as Anthony Dascoli) [CRD: 4133420, Delray Beach, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony D'Ascoli has worked for Oppenheimer Co. Inc. since September 5, 2013, as a broker, and since September 11, 2013, […]

Investors have reportedly disputed the sales practices of securities broker Devin Shailesh Patel [CRD: 6632487, Tampa, Florida], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Devin Patel worked for Sanford C. Bernstein Co. LLC from January 30, 2023, to September 17, 2025. Investors are encouraged to continue reading to learn more […]