Investors potentially incurred losses because of securities broker Mark Allen Carter [CRD: 6387371, Charlotte, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carter worked for Pruco Securities LLC from September 8, 2014, through March 25, 2024. Readers should see below to discover more about Carter’s disclosures and regulatory history. FINRA Sanctioned […]

Investors apparently complained about securities broker Paul Richard Meyer [CRD: 3062534, Minnetonka, Minnesota], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Meyer has worked for RBC Capital Markets LLC beginning on October 11, 2017, where he has been registered as both a broker and investment adviser. Keep reading to discover more […]

Investors have reportedly disputed the sales practices of securities broker Alexis Leon Aldaz (also known as Alex Aldaz) [CRD: 3058560, Bonita, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Aldaz worked for Edward Jones from February 28, 2020, to September 24, 2025. Read on for details about the disclosures […]

Investors possibly experienced sales practice violations by securities broker Joseph Frederick Eschleman (also known as Joe Eschleman) [CRD: 3237843, Sacramento, California], according to publicly available information on FINRA BrokerCheck. Evidently, Eschleman has been registered with Purshe Kaplan Sterling Investments since August 10, 2017, and with Towerpoint Wealth LLC since May 30, 2017. Read below for […]

Investors potentially experienced sales practice violations due to securities broker Terry William Griffith [CRD: 4937497, Watertown, Massachusetts], according to disclosures on FINRA BrokerCheck. Evidently, Griffith worked for UBS Financial Services Inc. in Peabody, Massachusetts, from May 14, 2014, to May 15, 2024, and has been registered with Independent Financial Group LLC in Watertown, Massachusetts, since […]

Investors apparently complained about securities broker Brian Kenneth Court [CRD: 2591547, Melville, New York], according to publicly available information on FINRA BrokerCheck. Evidently, Court worked for Aegis Capital Corp. from May 2, 2014, to January 30, 2024. Read on for details about Court’s disclosures and regulatory actions. FINRA Sanctioned Court For Discretionary Trading Particularly, on […]

FINRA barred securities broker Emma Marie McAuley [CRD: 7178199, Auburn, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McAuley worked for Edward Jones from November 4, 2019, to March 19, 2024. Keep reading to learn more about McAuley’s disclosures. FINRA Sanctioned McAuley For Failure To Respond Notably, on January 21, 2025, […]

One or more investors possibly experienced losses because of securities broker Brian Scott Lesley [CRD: 3090243, Starkville, Mississippi], based on publicly available information on FINRA BrokerCheck. Evidently, Lesley has worked for LPL Financial LLC since March 7, 2012, working through branch locations in Starkville, West Point, Louisville, Columbus, and Winona, Mississippi. Read below to learn […]

One or more investors possibly experienced losses because of securities broker James Eugene Holmes III [CRD: 2174697, Winston Salem, North Carolina], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Holmes worked for Wells Fargo Clearing Services LLC from August 30, 2019, to October 10, 2024, and for Stephens from March 11, […]