Investors apparently complained about securities broker Kevin Clinton Loyd Jr [CRD: 4447419, Town and Country, Missouri], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Loyd worked for First Allied Securities Inc. from December 16, 2013, to September 8, 2022; Cetera Advisors LLC from September 8, 2022, to June […]

Investors might have sustained losses because of securities broker Matthew Brett Koelliker [CRD: 5660722, San Francisco, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Koelliker worked for KKR Capital Markets LLC beginning on November 12, 2024. He also worked for M360 Advisors as Vice President between February […]

Investors potentially experienced sales practice violations by securities broker Raymond Noel Garner [CRD: 1489704, Saint Augustine, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Garner worked for Lifemark Securities Corp. from November 6, 2018, to July 15, 2020. Read on to find out more about the disclosures involving […]

Investors potentially experienced sales practice violations by securities broker Jack Frank Bruscianelli [CRD: 2113986, Oakbrook Terrace, Illinois], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bruscianelli worked for National Securities Corporation from January 2, 2002, to July 22, 2022, and has been registered with B. Riley Wealth Management since July 22, […]

Investors have reportedly disputed the sales practices of securities broker David Theodore Bulow [CRD: 5834367, Milpitas, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Bulow worked for NI Advisors from May 19, 2015, to May 22, 2024. Investors can see below to learn more about the disclosures involving this […]

Investors potentially incurred losses because of securities broker Bruce Alan Hartzmark [CRD: 1106323, Beachwood, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hartzmark has been registered with Oppenheimer Co. Inc. since April 12, 1988, as a broker and since March 31, 2006, as an investment adviser. Keep reading to […]

Investors have reportedly disputed the sales practices of securities broker Robert Lee Anderson III [CRD: 2355813, Hiawassee, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Anderson has been registered with Raymond James Financial Services Inc. since January 4, 1999, and with Raymond James Financial Services Advisors Inc. since January […]

Investors potentially incurred losses because of securities broker Timothy John Sherer (also known as Tim Sherer) [CRD: 833618, Los Gatos, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sherer worked for Emerson Equity LLC beginning April 15, 2019, after previously working for Sandlapper Wealth Management LLC and Sandlapper […]

Investors apparently complained about securities broker John Kacheong Lee [CRD: 2948622, Pleasanton, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lee has been registered with Independent Financial Group LLC since October 28, 2005, as a broker and since October 31, 2005, as an investment adviser. Read below to […]