Investors potentially experienced sales practice violations due to securities broker Jeff W. Webb [CRD: 6486331, Denver, Colorado], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Webb has worked for Emerson Equity LLC since May 5, 2017, as a broker and since November 5, 2019, as an investment adviser. He also worked […]

Investors have reportedly disputed the sales practices of securities broker Michael Geoffrey Minter [CRD: 2989575, Lutz, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Minter has been registered with Lifemark Securities Corp. since September 23, 2009, and as an investment adviser representative with the same firm since August 25, 2021. Read […]

Investors have reportedly disputed the sales practices of securities broker Marc Michael Miller [CRD: 1133692, Tiburon, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Miller has been registered with Wedbush Securities Inc. since August 16, 2021, serving as both a broker and investment adviser. Read on to learn more about […]

Investors might have sustained losses because of securities broker Reynold Wayne Neufeld (also known as Rey Neufeld) [CRD: 827427, Indio, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Neufeld worked for Centaurus Financial Inc. from May 16, 2008, to July 9, 2021. See the following summary for details about Neufeld’s […]

Investors potentially experienced sales practice violations due to securities broker James John Raia [CRD: 2397301, Ridgewood, New York], according to public information on FINRA BrokerCheck. Evidently, Raia worked for Moloney Securities Co. Inc. from February 1, 2018, to June 4, 2025, and is currently registered with Emerson Equity LLC in Irvine, California, since May 7, […]

Investors might have sustained losses because of securities broker Lisa Babin Mantei (also known as Lisa Lyn Babin-Mantei and Lisa Lyn Mantei) [CRD: 2230735, Lexington, South Carolina], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mantei worked for Centaurus Financial Inc. since May 19, 2015, and was also previously employed […]

Investors apparently complained about securities broker Bruce Robert Beetz [CRD: 1527269, Hollister, California], based on disclosures on FINRA BrokerCheck. Evidently, Beetz has been registered with Emerson Equity LLC since November 4, 2019, and previously worked for Oak Tree Securities Inc. in Paicines, California, from April 2, 2001, to November 4, 2019. Read on to find […]

Investors potentially experienced sales practice violations due to securities broker David Allen Merrick [CRD: 1542660, The Villages, Florida], according to publicly available information on FINRA BrokerCheck. Evidently, Merrick has worked for Edward Jones since March 9, 2016, as a broker and since May 23, 2016, as an investment adviser. Read on to learn more about […]

Investors reportedly complained about securities broker Juliann Fayard Smith (also known as Julie Smith) [CRD: 1338081, Kansas City, Missouri], according to publicly available information on FINRA BrokerCheck. Evidently, Smith joined Moloney Securities Co. on September 5, 2003. Keep reading to learn more about the disclosures involving this broker. Moloney Securities Investor Accused Julie Smith Of […]