Investors might have sustained losses through securities broker David Michael Smith Sr. [CRD: 850797, Vero Beach, Florida], according to publicly available information on FINRA BrokerCheck. Evidently, Smith worked for Intervest International Equities Corporation from September 28, 1995, to February 14, 2025, Intervest International Inc. from August 12, 2005, to March 19, 2025, and more recently […]

Investors potentially experienced sales practice violations due to securities broker Burton William Bartlett II [CRD: 1038728, Mequon, Wisconsin], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bartlett worked for Landolt Securities Inc. from May 14, 2021, to June 6, 2024, and Worden Capital Management LLC from April 7, 2014, to […]

Investors might have sustained losses through securities broker William David Carlton (also known as Bill Carlton) [CRD: 1215541, Bellevue, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Carlton worked for Cetera Advisors LLC from September 8, 2022, to January 17, 2024, and for First Allied Securities Inc. from December 9, 2008, to September 8, 2022. […]

One or more investors possibly experienced losses because of securities broker Jeffrey Lynn Bangerter [CRD: 1687028, Roseville, California], according to publicly available information on FINRA BrokerCheck. Evidently, Bangerter joined Concorde Investment Services LLC on February 28, 2019, and joined Concorde Asset Management LLC on May 4, 2023, and Bangerter Financial Services Inc. on October 20, […]

Investors reportedly complained about securities broker Michael Joseph Whitaker [CRD: 6316100, The Villages, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Whitaker worked for Newbridge Securities Corporation from April 10, 2014, to March 24, 2025. Keep reading to learn more about the disclosures involving Whitaker and the allegations connected to his […]

Investors might have sustained losses through securities broker David William Reimer [CRD: 2350952, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Reimer worked for National Securities Corporation in Mineola, New York, from March 13, 2015, to August 8, 2017, then for Aegis Capital Corp. in New […]

Investors potentially experienced sales practice violations due to securities broker Vasilios Takos (also known as Bill Takos and Billy Takos) [CRD: 2500839, Garden City, New York], based on public information found on FINRA BrokerCheck. Evidently, Takos worked for Aegis Capital Corp. from September 1, 2017, to April 1, 2024, and joined Dominari Securities LLC on […]

Investors might have sustained losses due to securities broker Eugene Cebron Thompson IV (also known as Bron Thompson and EC Thompson IV) [CRD: 4350479, Dunn, North Carolina], according to public information found on FINRA BrokerCheck. Evidently, Thompson joined Capital Investment Group Inc. and Capital Investment Advisory Services LLC on February 13, 2014. Keep reading to […]

Investors reportedly complained about securities broker James Earl Williams [CRD: 1631008, Boca Raton, Florida], based on public information found on FINRA BrokerCheck. Evidently, Williams joined Newbridge Securities Corporation on June 9, 2010, and was previously a registered investment adviser. Keep reading to learn more about the disclosures concerning James Williams. James Williams Disclosed Negligence, Breach […]