Investors potentially experienced sales practice violations by securities broker Kenneth Joseph Vercellino (also known as Kenny Vercellino) [CRD: 2583864, San Francisco, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Vercellino worked for J.P. Morgan Securities LLC from July 29, 2010, through February 26, 2022, and has worked for Raymond James Associates Inc. […]

Investors might have been negatively impacted by securities broker Edward Sanford Pegram IV (also known as Edward Sandford Pegram IV and Sandy Pegram) [CRD: 721375, Wellesley Hills, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Edward Pegram was registered with RBC Capital Markets LLC from July 22, 2020, to May 1, 2026. […]

Investors potentially experienced sales practice violations by securities broker Markus Gracen Byrd [CRD: 2177376, Dallas, Texas], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Byrd worked for Kestra Investment Services LLC from February 21, 2014, to April 15, 2024. See below to find out more about Byrd’s disclosures. Kestra Investor Accused […]

Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, before becoming associated with Huntleigh Securities Corporation and Huntleigh Advisors […]

FINRA suspended securities broker Robert Wylie Goff (also known as Robert Mylie Goff and Rob Goff) [CRD: 4388671, East Lansing, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Goff worked for Wells Fargo Clearing Services LLC from October 18, 2022, to July 17, 2024, in East Lansing, Michigan, and previously for […]

Investors potentially incurred losses because of securities broker Christopher John McCaffrey [CRD: 2735236, Napa, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCaffrey worked for Morgan Stanley from June 1, 2009, to February 13, 2024. Investors should review the information below to discover more about McCaffrey’s disclosures. Morgan Stanley Smith Barney LLC […]

FINRA suspended securities broker Frank J. Bodi [CRD: 1107838, Solon, Ohio], and investors complaint about him, based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frank Bodi worked for Landolt Securities Inc. from March 13, 2017, to February 16, 2024. Investors are encouraged to review the information below to discover more about the disclosures […]

FINRA suspended securities broker Stephen Edward Trask [CRD: 1837307, Mechanicsburg, Pennsylvania], and investors complaint about him, based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Trask worked for Vanderbilt Securities LLC from April 14, 2012, to January 9, 2023. Investors are encouraged to continue reading to learn more about the disclosures involving this […]

Investors apparently complained about securities broker Richard Lloyd Carman [CRD: 2002971, Memphis, Tennessee], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carman worked for LPL Financial LLC from January 3, 2002, to August 4, 2021, and later for Ameriprise Financial Services LLC from July 23, 2021, to April 12, 2022. Investors […]