Investors might have sustained losses due to securities broker Glenn Herbert Cray [CRD: 5184058, Epping, New Hampshire], based on publicly available information reported on FINRA BrokerCheck. Cray has worked with Moloney Securities Co. Inc. since September 18, 2015, and with Moloney Securities Asset Management LLC since December 9, 2016. Read on to find out more […]

One or more investors potentially experienced sales practice violations due to securities broker Harrison Chi Chang [CRD: 4183646, Pasadena, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Harrison Chang worked for Western International Securities Inc. from December 2, 2017, to July 3, 2024. Investors should continue reading to find out more the […]

Investors apparently complained about securities broker Luke Cliff Schunk [CRD: 2387553, Tomahawk, Wisconsin], according to publicly available information reported on FINRA BrokerCheck. Schunk has worked with Moloney Securities Co. Inc. since March 16, 2012. See the following information to find out more Schunk’s disclosures involving client allegations. Schunk Disclosed Negligence Allegations By Moloney Securities Client […]

Investors supposedly complained about securities broker John Anthony Germain [CRD: 2706666, Norwell, Massachusetts], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Germain has worked with RBC Capital Markets LLC since April 17, 2009, operating out of their office on Washington Street in Norwell, Massachusetts. See the following information to understand more about Germain’s […]

Investors may have incurred losses because of securities broker Sherri Lynn Desjardins [CRD: 6310011, Lady Lake, Florida], based on publicly available information reported on FINRA BrokerCheck. Desjardins has worked with Centaurus Financial Inc. in Lady Lake, Florida, since September 18, 2017. Keep reading to understand more about the allegations involving Desjardins and how they may […]

One or more investors apparently complained about securities broker Todd William Walker [CRD: 2503388, Biloxi, Mississippi], according to disclosures on FINRA BrokerCheck. Evidently, Todd Walker has been registered with Centaurus Financial Inc. at its Centennial, Colorado, branch since January 12, 2005, and registered as an investment adviser with the same firm since January 9, 2012. […]

Investors might have sustained losses due to securities broker Jeffrey Patrick Hobert (also known as Jeffrey Hobert) [CRD: 6451659, Newport Beach, California], according to disclosures on FINRA BrokerCheck. It appears that Hobert has been registered with Centaurus Financial Inc. since February 19, 2015. Keep reading to learn more about Hobert’s client disputes and investment-related allegations. […]

Investors potentially experienced losses due to securities broker Drew Matthew Peacock (also known as Matt Peacock) [CRD: 5834481, Pensacola, Florida], according to disclosures on FINRA BrokerCheck. Apparently, Peacock worked for Ameriprise Financial Services LLC from October 8, 2019 to April 5, 2024. Keep reading to learn more about the disclosures involving Peacock, including alleged unauthorized […]

Investors might have sustained losses due to securities broker Surya Metzler [CRD: 4558292, Newport Beach, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Surya Metzler has worked for Centaurus Financial Inc. since November 1, 2011, and Newport Wealth Advisors Inc. since January 9, 2018. Prior to this, he was also registered with […]