Investors apparently complained about securities broker Thomas Abbitt Jenkins Jr. (also known as Tom Jenkins) [CRD: 2562513, Houston, Texas], according to publicly available information on FINRA BrokerCheck. Evidently, Thomas Jenkins has been registered with UBS Financial Services Inc. in Houston, Texas since September 7, 2010, where he also serves as an investment adviser representative since […]

Investors possibly experienced sales practice violations by securities broker Edward Boyd Stephens [CRD: 4324797, Greensboro, North Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Stephens worked for Raymond James Financial Services Inc. from May 23, 2016, to November 11, 2024, and has been affiliated with 1808 Capital Partners as Partner and Director of Financial Planning […]

Investors apparently complained about securities broker Timothy Richard Yee [CRD: 2492578, Alameda, California], according to publicly available information on FINRA BrokerCheck. Evidently, Yee has been registered with Independent Financial Group LLC since July 8, 2015, and previously worked for LPL Financial LLC from May 30, 2014, to June 10, 2015. See the following summary for […]

FINRA barred securities broker Ian A. Geeves [CRD: 5328479, Carlsbad, California], and an investor complained about him, according to disclosures on FINRA BrokerCheck. Evidently, Ian Geeves worked for Vanderbilt Securities LLC from February 15, 2022, to November 16, 2023, and for LPL Financial LLC from November 15, 2017, to January 14, 2022. Continue reading to […]

Investors have reportedly disputed the sales practices of securities broker Russell Taylor Jones [CRD: 1383542, Troy, Michigan], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jones worked for SagePoint Financial Inc. from August 13, 2010, to November 12, 2020. Continue reading for details about Jones’s disclosures and investor disputes. SagePoint […]

Investors apparently complained about securities broker Bryan Gerald Musso [CRD: 2304057, Metairie, Louisiana], according to disclosures on FINRA BrokerCheck. Evidently, Musso worked for Advisor Resource Council (formerly 360 Wealth Management LLC) as an investment adviser representative from April 2019 to June 2023, and for Wells Fargo Clearing Services LLC in New Orleans, Louisiana, from February […]

Investors have reportedly disputed the sales practices of securities broker Robert Charles Knutson Jr. [CRD: 272788, St. Paul, Minnesota], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Knutson worked for Morgan Stanley from November 8, 2013, to March 22, 2023, and for UBS Financial Services Inc. from April 15, 1988, to […]

Investors potentially incurred losses because of securities broker Rocco Michael Maselli (also known as Rocco Micheal Masell, Rocco Micheal Maselli, and Rock Maselli) [CRD: 2791357, Garden City, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Maselli has been registered with VCS Venture Securities since September 24, 2021, and previously worked […]

Investors apparently complained about securities broker Atul Makharia [CRD: 5070762, Lexington, South Carolina], according to public information on FINRA BrokerCheck. Evidently, Makharia has been registered with Centaurus Financial Inc. since May 19, 2015, and also registered as an investment adviser representative with the same firm since April 29, 2024. Read on to learn more about […]