Investors have reportedly disputed the sales practices of securities broker Thomas Gary Justice [CRD: 2786145, San Mateo, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Justice has been registered with Emerson Equity LLC in San Mateo, California, since November 19, 2020. Previously, he worked for Conover Capital Management in Bellevue, […]

Investors potentially experienced sales practice violations due to securities broker Dustin Johnson Javier [CRD: 6025214, Bartlett, Illinois], according to publicly available information on FINRA BrokerCheck. Evidently, Javier worked for Ausdal Financial Partners Inc. from May 20, 2016, to December 31, 2021. Read below for details about Javier’s disclosures. Ausdal Financial Partners Inc. Investor Accused Javier […]

Investors might have sustained losses because of securities broker Jason Andrew Salmon [CRD: 6081963, Torrance, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Salmon has been registered with FNEX Capital LLC since January 23, 2022, and previously worked with Growth Capital Services Inc. from July 23, 2020, to January […]

Investors potentially incurred losses because of securities broker Steven Foreman Kahn [CRD: 1001362, Chicago, Illinois], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kahn has been registered with American Trust Investment Services Inc. since May 8, 2014. See the following information to discover more about this broker’s disclosures and related client […]

Investors potentially incurred losses because of securities broker Michael Cheng Ning (also known as Makoto Ning) [CRD: 1229733, Scottsdale, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ning worked for Arque Capital, Ltd. from December 21, 2005, to June 16, 2023. Continue reading to find out more about the disclosures involving […]

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 […]