Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Gary Sauve [CRD: 411499, Bismarck, North Dakota]. Sauve worked for Centaurus Financial Inc. from June 4, 2015, to March 9, 2021. Sauve has faced client disputes, with allegations ranging from unsuitable investment recommendations to breaches of fiduciary duty. Continue reading to learn more about […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Garrett Wayne Moretz [CRD: 4086791, Mooresville, North Carolina]. Moretz joined LifeMark Securities Corp. on May 31, 2017. Investors and SEC have raised concerns regarding Moretz’s conduct, leading to allegations of misrepresentation, unsuitable recommendations, and negligence. Continue reading to learn more about the disclosures. SEC […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Douglas Cy Waisner [CRD: 1280998, Westlake Village, California]. Evidently, Waisner joined Western International Securities Inc. on May 27, 2008, and worked for Financial West Group from January 1, 2005, to March 20, 2013. Keep reading to learn more about client disputes that contain allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Caz Craffy (also known as Carz Levinski Craffey) [CRD: 5222223, Point Pleasant Beach, New Jersey]. Craffy worked for Newbridge Securities Corporation from May 2017 to March 2021 and with Monmouth Capital Management LLC from April 2021 to November 2022. Keep reading to learn more […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Andrew Scheier [CRD: 2820778, New York, New York]. Evidently, Scheier has worked for Stifel Nicolaus Company Incorporated as a securities broker since August 21, 2007, and as a financial advisor since November 24, 2021. Recently, Scheier faced client disputes regarding his recommendations and strategies. […]

FINRA fined securities broker Todd Arnold Havemeister [CRD: 1942953, Melbourne, Florida], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Todd Havemeister worked for Great Point Capital LLC from August 21, 2018, to May 5, 2022. Here’s more about the disclosures concerning Todd Havemeister and how they may […]

Investors might have sustained losses due to securities broker Scott Douglas Phillips [CRD: 1311907, Salt Lake City, Utah], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Scott Phillips has worked for Centaurus Financial Inc. since January 4, 2007, as a broker, and since January 17, 2007, as a financial advisor. He has […]

Investors possibly experienced losses because of securities broker Norman Hugh Meyer [CRD: 3185642, Milpitas, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Norman Meyer has worked for NI Advisors since September 20, 2021, and for Vestech Securities Inc. since June 3, 2016. He also serves as a financial advisor at Vestech […]

Investors possibly experienced losses because of financial advisor / securities broker Mike Robert Kilpatrick [CRD: 1278618, Camarillo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kilpatrick has worked for Centaurus Financial Inc. since May 10, 2011. Before this, he worked with LPL Financial and American Express Financial Advisors. Here’s more about the […]