Investors apparently complained about securities broker Michael Edwin Magruder [CRD: 4579211, Orlando, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Magruder worked for Merrill Lynch from August 21, 2015, to July 2, 2021, and Raymond James from July 1, 2021, to August 2, 2024. Keep reading to learn more about Magruder’s disclosures. […]

Financial Industry Regulatory Authority (FINRA) sanctioned securities broker Michael Stephen Schoolcraft [CRD: 6375300, Lisle, Illinois], based on public information on BrokerCheck. Schoolcraft worked for MML Investors Services LLC from May 17, 2016, to May 1, 2026. Read on to find out more about Schoolcraft’s disclosures. MML Terminated Michael Schoolcraft Over Personal Loans MML Investors Services […]

FINRA barred securities broker Eugene W. Antosh (also known as Geno Antosh) [CRD: 5450983, Portland, Connecticut], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Eugene Antosh worked for Ameriprise Financial Services LLC from July 23, 2014, to September 16, 2025. See below to learn more about disclosures involving Eugene Antosh as reported on […]

FINRA brought an enforcement action against securities broker John Demetrios Polemis (also known as John Dimitri Polemis) [CRD: 4270012, New York City, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polemis worked for Park Avenue Securities LLC from April 21, 2022, to March 1, 2024, and Stirlingshire Investments from March 18, […]

A Kansas regulator fined financial advisor David Gene Cox [CRD: 5518178, Overland Park, Kansas], and one or more investors complained about him, according to SEC Investment Adviser Public Disclosure. Notably, Cox was associated with Brookstone Capital Management LLC from April 10, 2008, to October 15, 2021, CreativeOne Wealth LLC from October 15, 2021, to May […]

Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]

Investors potentially incurred losses because of securities broker Mark Robert Brosa [CRD: 5481188, Lawrence, Kansas], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Brosa worked for Ameriprise Financial Services LLC from April 17, 2020, to March 22, 2024. Keep reading to learn more about the disclosures involving Mark Brosa. FINRA Sanctioned […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Lyhen Fiallo (also known as Lyhen Hernandez) [CRD: 4579582, Hialeah, Florida], based on public information located on FINRA BrokerCheck. Lyhen Fiallo worked for PFS Investments Inc. from April 24, 2020, to December 31, 2024. Investors are encouraged to continue reading to find out more about this broker’s […]

Investors potentially experienced sales practice violations by securities broker John Demetrios Polemis (also known as John Dimitri Polemis and John Demitrios Polemis) [CRD: 4270012, New York City, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Polemis worked for Stirlingshire Investments from March 18, 2024, to September 5, […]