Investors may have incurred losses due to securities broker Joseph Pierre Barreca Jr. (also known as Joe Barreca) [CRD: 3276048, Metairie, Louisiana], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Barreca worked for Infinex Investments Inc. from July 1, 2016 to January 22, 2021, and for First Horizon Advisors Inc. from […]

FINRA barred securities broker Joseph Adam Eisler [CRD: 2503507, Blue Bell, Pennsylvania] and investors complained about him, according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Eisler worked for LPL Financial LLC from December 19, 2022, to March 27, 2025, and worked for Morgan Stanley between June 1, 2009, and December […]

Investors possibly experienced losses due to securities broker Stephen Parker Nitz (also known as Steve Nitz) [CRD: 1298437, Ridgefield, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stephen Nitz worked for Osaic Institutions Inc. from May 10, 2007 to May 8, 2024, and works for Steward Partners Investment Solutions […]

Investors potentially experienced sales practice violations due to securities broker Tony Wei Wang [CRD: 4531200, Newport Beach, California], according to publicly available information through FINRA’s BrokerCheck. Evidently, Wang has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since November 5, 2010, serving both as a broker and an investment adviser at the firm’s Newport […]

Investors potentially experienced sales practice violations because of securities broker Mario Hank [CRD: 6723996, Houston, Texas], according to disclosures on FINRA BrokerCheck. Evidently, Mario Hank registered with Banorte Securities International, Ltd. since December 20, 2016, and worked with Banorte Asset Management Inc. since December 7, 2021. Below, you can find out more about the securities […]

Investors potentially experienced losses due to securities broker Steven Richard Baaden (also known as Steve Baaden [CRD: 1266766, Dallas, Texas], according to disclosures on FINRA BrokerCheck. It appears that Steven Baaden worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 2011 to January 2013, and is currently registered with Oppenheimer Co. Inc. since February […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ayad Beshara Saad (CRD#: 1912377, Melbourne, Florida). Saad previously worked at Morgan Stanley from March 2013 to December 2023. Recent disclosures highlight concerns regarding Saad’s professional conduct, including allegations of misrepresentation, unauthorized transactions, and employment terminations. Learn more about these disclosures below. Settled Client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Patrick M. Dever [CRD: 2202204, West Chester, Pennsylvania]. Dever is currently registered with Stifel Nicolaus Company Incorporated, where he has worked since October 30, 2014, as a financial advisor and securities broker. Prior to this, Dever was employed by Morgan Stanley from 2009 to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Richard Lance Belline [CRD: 2432737, Rogers, Arkansas], based on the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Belline worked for Equitable Advisors LLC from December 14, 1993, to October 18, 2023. Continue reading to learn […]