Investors potentially incurred losses because of securities broker Chad Evan Polin [CRD: 4233680, Fort Washington, Pennsylvania], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polin worked for BB&T Securities LLC from January 2, 2018, to February 17, 2021, and later worked for Truist Investment Services Inc. and Truist Advisory Services […]

Investors potentially incurred losses because of securities broker Diego Soares Bacellar [CRD: 6808326, Miami, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Diego Bacellar worked for Northwestern Mutual Investment Services LLC from April 8, 2019, to May 1, 2026. Investors are encouraged to continue reading to discover more about the disclosures involving […]

Investors may have incurred losses due to securities broker Michael Adam Battalini [CRD: 3204878, Sewickley, Pennsylvania], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Records show that Battalini was employed by World Capital Brokerage Inc. from December 22, 2022, through April 17, 2023, and previously worked for Coastal Equities Inc. from […]

Investors might have sustained losses due to securities broker David Nathan Cohen [CRD: 5083883, Yonkers, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Cohen worked for Cetera Investment Services LLC from June 20, 2019, to December 10, 2025. Investors should continue reviewing this information to learn more about the disclosures […]

Investors potentially incurred losses because of securities broker Pamela Nisbet McWhorter (also known as Pam McWhorter, Pamela McWhorter-Libby, and Pamela Hurley) [CRD: 1137851, Smithfield, Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McWhorter worked for Edward Jones from February 1, 2018, to April 1, 2024, and later registered with Newbridge Securities Corporation […]

Investors have reportedly disputed the sales practices of securities broker Lawrence Allen Krause [CRD: 275153, Larkspur, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Krause worked for KW Securities Corporation from June 24, 1980, to April 2, 2024, and for B.B. Graham Company Inc. from December 1, 2021, to […]

Investors supposedly complained about securities broker Jeremy Matthew Benson [CRD: 6249020, San Antonio, Texas], based on publicly available information reported on FINRA BrokerCheck. Jeremy Benson worked for NYLIFE Securities LLC from April 23, 2014, to February 29, 2024. Read on to learn more about the disclosures involving Benson, including investor allegations and the circumstances surrounding […]

One or more investors apparently complained about securities broker Sharon Lynn Pensabene [CRD: 2368040, Lompoc, California], according to disclosures on FINRA BrokerCheck. Sharon Pensabene worked for NYLIFE Securities LLC from July 25, 1997 to February 1, 2024. Keep reading to learn more about the securities broker’s disclosures and what they could mean for investors. NYLIFE […]

Investors might have sustained losses due to securities broker James Daniel McDermott [CRD: 2483480, Oakbrook Terrace, Illinois], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McDermott was registered with Raymond James Associates Inc. from October 16, 2015, to October 27, 2023, before moving to Osaic Wealth Inc. on October 26, 2023. […]