Investors potentially experienced sales practice violations because of securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to publicly available information reported on FINRA BrokerCheck. Craig Thistlethwaite worked for Morgan Stanley from June 1, 2009 to February 16, 2023. Read below to learn more about the regulatory action taken against Thistlethwaite. FINRA Fined Craig […]

Investors may have incurred losses due to securities broker Stuart Jay Spivak [CRD: 1883651, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Spivak joined Centaurus Financial Inc. on May 29, 2008, as a securities broker and on June 16, 2008, as a financial advisor. Keep reading to understand more about the […]

Investors reportedly complained about securities broker Richard John Belz [CRD: 1140219, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Belz joined RF Lafferty Co. Inc. on November 29, 2016, and continues to work with the firm at its Wall Street office. Read below to know more about the pending […]

Investors potentially experienced sales practice violations due to securities broker John Francis Schlagheck [CRD: 1040673, Ottawa Lake, Michigan], according to publicly available information reported on FINRA BrokerCheck. John Schlagheck worked for Intervest International Equities Corporation from August 17, 2017 to October 5, 2022, and Cape Securities Inc. from October 18, 2022 to March 6, 2023. […]

One or more investors potentially experienced sales practice violations because of securities broker Brian Wayne Napier [CRD: 4555202, Greenwood, Indiana], based on publicly available information reported on FINRA BrokerCheck. Napier has worked with Ausdal Financial Partners Inc. since September 18, 2013, where he serves both as a broker and an investment adviser. Read on to […]

Investors may have incurred losses due to securities broker Teddy R Ezzell III [CRD: 1527524, Fort Collins, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ezzell has worked with LPL Financial LLC since December 15, 2014, and with Western Wealth Management LLC since June 22, 2016. Below, you can learn more about […]

Investors might have sustained losses because of securities broker Kasey Luv Davis (also known as Kasey Luv Hopps) [CRD: 2353615, Belton, Texas], according to publicly available information reported on FINRA BrokerCheck. Davis has worked with Centaurus Financial Inc. in Belton, Texas since April 26, 2013, as an investment adviser and since June 5, 2013, as […]

Investors may have incurred losses because of securities broker Jacque Paul Kuchta [CRD: 1819415, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kuchta has been employed by UBS Financial Services Inc. from January 18, 2012, to the present. Keep reading to understand more about the disclosures involving Jacque Kuchta and […]

Investors may have incurred losses due to securities broker Arthur Dale Stevens [CRD: 2891757, Cadillac, Michigan], according to publicly available information reported on FINRA BrokerCheck. Arthur Stevens has worked with Packerland Brokerage Services Inc. since September 1, 2017. Below, individuals can find out more Stevens’ disclosures and allegations that have been filed against him. Packerland […]