FINRA barred securities broker David Lee Jerke [CRD: 5129935, Tacoma, Washington] and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Jerke worked for LPL Financial LLC from January 14, 2021, to December 23, 2024, and for Securities America Inc. from November 6, 2020, to January 14, 2021. […]

Investors possibly experienced losses because of securities broker Eric Vance Kubiak [CRD: 4637674, Cheektowaga, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Eric Kubiak worked for Ameriprise Financial Services LLC from August 12, 2008, to April 6, 2023. Check out the following information about the disclosures involving this […]

Investors reportedly may have incurred losses due to securities broker Sanford Graham Simmons (also known as Sandy Simmons) [CRD: 1018907, Castle Rock, Colorado], according to disclosures on FINRA BrokerCheck. According to the regulator, Sanford Simmons worked for Saxony Securities Inc. from January 3, 2023, to October 2, 2024. Previously, he was employed at Patrick Capital […]

Investors potentially experienced losses due to securities broker Mark Gilbert Beesley [CRD: 5362689, Boston, Massachusetts], according to disclosures on FINRA BrokerCheck. Beesley was employed by Wood (Arthur W.) Company Inc. from August 24, 2021, to April 17, 2023, and previously worked for LPL Financial LLC from March 11, 2019, to November 4, 2020. Keep reading […]

FINRA sanctioned securities broker Kittiany Davis Barrios (also known as Kittiany Davis-Barrios) [CRD: 6941840, Cranbury, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Davis Barrios worked for PFS Investments Inc. from March 15, 2019, to February 22, 2024. Read on to learn more about the disclosures concerning Davis Barrios. FINRA Sanctioned […]

FINRA sanctioned securities broker John Alfred Dow Jr. [CRD: 2524415, Stillwater, Minnesota], according to disclosures on FINRA BrokerCheck. According to the regulator, John Dow worked for Morgan Stanley from August 1, 2012, to May 21, 2024. Here’s more about the disclosures concerning Dow. FINRA Barred Dow For Failure to Produce Documents Particularly, on January 6, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory Alan Corrie [CRD: 1982814, Boise, Idaho]. Corrie, who worked for firms including Cambridge Investment Research, Inc. from January 2020 to March 2023 and Cetera Advisors LLC from November 2017 to November 2019, is the subject of multiple adverse disclosures. Recent regulatory actions and […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Michael Charles Grande [CRD: 1219255, Fort Lauderdale, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Grande worked for Newbridge Securities Corporation from November 18, 2005, to May 31, 2022. Continue reading to learn […]

FINRA permanently barred securities broker Lori Fleischhacker Copeland [CRD: 6437019, Charlotte, North Carolina], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lori Copeland worked for LPL Financial LLC from May 26, 2021, to January 30, 2023. Continue reading to learn more about the disclosures linked to Lori Copeland's professional conduct. Regulatory Sanction Issued Against […]