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, […]

Investors possibly experienced losses because of securities broker Steven LaMar Nielsen [CRD: 4184826, Gilbert, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Steven Nielsen joined Centaurus Financial Inc. as a broker and financial advisor at their Gilbert, Arizona location on August 7, 2017. Here’s an overview of Steven Nielsen’s disclosures. Centaurus […]

Investors possibly experienced losses because of securities broker Robert Frederick Blake [CRD: 22955, Greenwood Village, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robert Blake worked for Cambridge Investment Research Inc. from November 19, 2012, to December 31, 2018. Here’s an overview of the securities broker’s disclosures. Cambridge Investment Research Inc. […]

Investors potentially sustained damages through securities broker John William Wolf [CRD: 1846080, Appleton, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Wolf worked for Purshe Kaplan Sterling Investments from November 20, 2009, to January 29, 2016. Below, you’ll find a summary of John Wolf’s disclosures. Cornerstone Financial Planning Investor Accused […]