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 […]

Investors potentially incurred losses because of securities broker William Lee Notrica [CRD: 817537, Laguna Niguel, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Notrica worked for RBC Capital Markets LLC from February 25, 2004, to February 18, 2022, and has been registered with Aegis Capital Corp. since February 24, 2022. Investors […]

Investors have reportedly disputed the sales practices of securities broker Scott David Coonrod [CRD: 4311374, Bend, Oregon], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Coonrod worked for FSC Securities Corporation from October 6, 2017, to December 31, 2022. Keep reading to discover more about disclosures involving this securities broker. FSC […]

FINRA fined securities broker Glenn Edwin Bridwell Jr. (also known as Ed Bridwell) [CRD: 1783191, Wichita, Kansas], and an investor complained about him, based on publicly available information found on FINRA BrokerCheck. Evidently, Bridwell was registered with FBL Marketing Services LLC from January 13, 1988, to October 2, 2024. Read on to find out more […]

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 […]