Investors potentially sustained damages through securities broker Patrick Michael Mendenhall [CRD: 1068809, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mendenhall worked for USCA Securities LLC from April 20, 2010, and U.S. Capital Wealth Advisors LLC from June 30, 2021. Here’s an overview of the securities broker’s disclosures. USCA Securities […]

Investors possibly experienced losses because of securities broker Joseph Farrell Beam [CRD: 5407778, Flat Rock, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joseph Beam worked for Capital Investment Group Inc. from August 20, 2013, to June 5, 2023. Below, you’ll find a summary of the securities broker’s disclosures. Capital […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Guy Gregory Clemente [CRD: 1222597, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Clemente worked for several firms, including Andrew Garrett Inc. from February 27, 2007, to January 2, 2024, and Aegis […]

Investors possibly experienced losses because of securities broker David Wayne Karin [CRD: 2486154, Westlake Village, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Karin joined Western International Securities Inc. on March 30, 2012, as a securities broker. He started working as a financial advisor there shortly thereafter. The following information concerns […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Austin Richard Dutton Jr. [CRD: 2739167, Doylestown, Pennsylvania], according to disclosures on BrokerCheck. Not only that, but investors at both Newbridge Securities Corporation and American Trust Investment Services Inc. complained about him. Evidently, Austin Dutton. worked for American Trust Investment Services Inc. from May 27, 2020, to […]

Investors might have sustained losses due to securities broker Zachary Ellis Taylor (also known as Zach Taylor) [CRD: 6074776, Newport Beach, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Zachary Taylor worked for Saxony Securities Inc. from June 26, 2023, to October 24, 2023, Oppenheimer Co. Inc. from August 21, 2020, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker William Vito Romeo (also known as Doughboy Romeo) [CRD: 1041846, East Meadow, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Romeo joined RNR Securities LLC on October 13, 1997, and R&R Financial Planners […]

Investors might have sustained losses due to securities broker William Dale Dobbs [CRD: 1064156, Clinton, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dobbs joined Centaurus Financial Inc. on April 7, 2009, in the capacities of both a securities broker and a financial advisor. Below, you’ll find a summary of the […]

Financial Industry Regulatory Authority (FINRA) charged securities broker Thomas James Baumann [CRD: 5254392, New York, New York] with violating FINRA rules on hindering investigations, according to disclosures on BrokerCheck. Not only that, but Spartan Capital Securities LLC investors complained about his sales practices. Evidently, Thomas Baumann worked for Spartan Capital Securities from January 22, 2013, […]