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 have reportedly disputed the sales practices of securities broker John B. Darmanian [CRD: 2899924, Montrose, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Darmanian worked for Western International Securities Inc. from September 11, 2009, to June 5, 2025, before joining LPL Financial LLC on June 5, 2025. Investors […]

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, […]

Investors apparently complained about securities broker Timothy Roark (also known as Tim Roark) [CRD: 5949136, Gainesville, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roark worked for Valmark Securities Inc. from September 16, 2011, to February 28, 2025, and has also been associated with Koss Olinger Company and Koss-Olinger Consulting LLC in […]

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 have reportedly disputed the sales practices of securities broker Dominic I. Myers [CRD: 5107939, San Diego, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Myers worked for Cetera Wealth Services LLC from May 17, 2022, to the present, Cetera Investment Advisers LLC from June 29, 2023, to the […]