Investors potentially experienced losses due to securities broker Ray Don Gallette [CRD: 3041923, El Dorado Springs, Missouri], according to disclosures on FINRA BrokerCheck. Evidently, Gallette worked for Coastal Equities Inc. from January 4, 2013 to January 29, 2020. Keep reading to learn more about the disclosures involving this securities broker and the types of investments […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Janine Lynn Ledbetter (also known as Janine Lynn Evans) [CRD: 5653943, Vancouver, Washington]. Ledbetter was previously registered as both a broker and an investment adviser, working with Cetera Advisors LLC from 2014 to 2022. Recent disclosures raise concerns regarding Ledbetter’s professional conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Billy James Aycock (CRD#: 4069907, Overland Park, Kansas). Aycock has worked in the securities industry for over 23 years, registering with 11 firms throughout his career. He is currently registered with Cabin Securities Inc. and Cabin Advisors LLC since December 13, 2023. Prior to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Cara Michelle Miller (also known as Cara M. Miller, Cara Michelle Smith) [CRD#: 4521819, Rapid City, SD]. Miller previously worked as a broker at multiple firms, including ProEquities Inc. from May 2006 to September 2020. She is currently registered as an investment adviser with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michael Christopher McFeeley (also known as Mike McFeeley) [CRD: 5505995, York, Pennsylvania]. McFeeley has 16 years of experience in the securities industry, currently employed with LPL Financial LLC since August 14, 2024. Previously, McFeeley worked for OSAIC FA, Inc. from May 14, 2008, to […]

Investors might have sustained losses due to securities broker Daniel Benjamin Kistler [CRD: 6203300, Rome, Georgia], based on the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kistler has been registered with Dempsey Lord Smith LLC since October 13, 2016. To learn more about the client disputes, keep reading. Dempsey Lord Smith LLC […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Mark Martino (CRD: 1010228, White Plains, New York). Not only has FINRA sanctioned Martino for failing to perform due diligence, but investors disputed the sales practices of the securities broker. However, Martino denies the allegations. Read on to learn more about the allegations […]

Investors have voiced complaints about securities broker Robert D'Agosta (CRD: 1903105, Center Valley, Pennsylvania). Notably, the securities broker, who worked for Berthel Fisher Company Financial Services Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Berthel Fisher Company Financial Services Inc. clients allege that D'Agosta committed sales practice violations, including providing unsuitable […]

Investors have voiced complaints about securities broker Kurt Russell Baldry (CRD: 1568930, Otsego, Minnesota). Notably, the securities broker, who worked for Ausdal Financial Partners Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Ausdal Financial Partners Inc. clients allege that Baldry made unsuitable recommendations. For more on these disclosures about Baldry, see […]