Investors apparently complained about securities broker David Michael Sherwood (also known as Dave Sherwood) [CRD: 1024893, Tucson, Arizona], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Sherwood worked for Greenberg Financial Group from March 22, 2002, to January 3, 2025. Investors are encouraged to continue reading to discover more about […]

Investors potentially experienced sales practice violations by securities broker Ann Louise Werts (also known as Ann Louise Gilmore, Ann Louise Howard, and Ann Louise Vanderslice) [CRD: 5057784, Denver, Colorado], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Werts worked for Cabot Lodge Securities LLC from July 12, 2013, to April 13, […]

Investors potentially incurred losses because of securities broker Scott Stanley Brooks [CRD: 3235252, San Clemente, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Brooks has been registered with Newbridge Securities Corporation since August 16, 2007, and with NFSG Corporation since September 6, 2007. Investors should continue reading to discover […]

Investors potentially incurred losses because of securities broker Raymond Edward DesRosiers (also known as Ray DesRosiers) [CRD: 4621826, Greenwich, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DesRosiers worked for Emerson Equity LLC from March 24, 2017, to May 2, 2022, WealthForge Securities LLC from May 6, 2022, to March 1, […]

Investors potentially incurred losses because of securities broker Gregory Jonathan Ritter (also known as Gregory John Ritter) [CRD: 3087358, Delaware, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Ritter worked for Emerson Equity LLC beginning June 8, 2010, as a broker and has also been registered with the firm as an […]

Investors potentially experienced sales practice violations by securities broker Jeffrey Seth Morrison [CRD: 3200399, Livingston, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffrey Morrison has worked with LifeMark Securities Corp. since February 18, 2005, as a broker, and since September 11, 2009, as an investment adviser. Investors should […]

Investors potentially experienced sales practice violations by securities broker Timothy Darragh [CRD: 1897635, Chicago, Illinois], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Darragh has worked for Stifel Nicolaus since February 25, 2016. Investors can see below to find out more about the disclosures involving this securities broker. Stifel Nicolaus Investor […]

Investors apparently complained about securities broker Scott Edward Oliphant [CRD: 4551455, Columbus, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Oliphant worked for CFD Investments Inc. from November 14, 2005, to December 19, 2019, Creative Financial Designs Inc. from October 22, 2019, to December 19, 2019, Cetera Advisors LLC from […]

Investors might have sustained losses due to securities broker John Eric Suess [CRD: 1950146, Santa Rosa Beach, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Suess has worked for Stifel Nicolaus since January 23, 2014, where he is registered as both a broker and investment adviser. Readers should continue reviewing this […]