Investors might have sustained losses because of securities broker Timothy Allen Nobles Jr. (also known as Tim Nobles) [CRD: 3261124, Spirit Lake, Iowa], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that he has been registered with Investment Planners Inc. since November 9, 1999, and with IPI Wealth Management […]

Investors potentially incurred losses because of securities broker Otto Ramon Bohon Jr [CRD: 5677597, Tucson, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Bohon worked for Centaurus Financial Inc. from July 20, 2012, to October 2, 2020. Keep reading to find out more about Bohon’s disclosures. Centaurus […]

Investors potentially experienced sales practice violations by securities broker Eric Jose Garcia [CRD: 5909532, Miami, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Garcia worked for Osaic Institutions Inc. beginning on July 1, 2016, as a broker and March 13, 2017, as an investment adviser. Read on to […]

Investors potentially experienced sales practice violations by securities broker Daniel Simon Pikula (also known as Dan Pikula) [CRD: 2563165, Wellington, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Pikula has been registered with Emerson Equity LLC since April 18, 2018, and with Money Manager Inc. since June […]

Investors potentially incurred losses because of securities broker George Reynolds Howard III [CRD: 2958866, Germantown, Tennessee], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Howard worked for Centaurus Financial Inc. beginning May 15, 2018, as a broker and May 17, 2018, as an investment adviser; before that, he was […]

Investors have reportedly disputed the sales practices of securities broker Jeffrey Donald Poosch (also known as Jeff Poosch) [CRD: 2490703, Port Huron, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Poosch worked for Prospera Financial Services Inc. from April 19, 2021, to the present, for Cetera Advisor Networks LLC […]

Investors might have sustained losses because of securities broker John Edmond Tryon [CRD: 1593231, Troy, Michigan], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Tryon has been registered with Centaurus Financial Inc. as a broker since April 1, 2005, and as an investment adviser since April 23, 2013. […]

Investors potentially experienced sales practice violations by securities broker Deborah Sue Anderson (also known as Deborah Sue Beemer) [CRD: 1795405, Redlands, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Anderson worked for Centaurus Financial Inc. from April 17, 2006, to June 5, 2020, and later for LPL Financial […]

Investors potentially incurred losses because of securities broker Gregory John Richards [CRD: 1339012, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Richards worked for Kingswood Capital Partners LLC beginning May 19, 2023, and Kingswood Wealth Advisors LLC beginning August 3, 2023, following prior employment with DST […]