Investors potentially incurred losses because of securities broker Robert Doyle [CRD: 2309859, Riverhead, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Doyle worked for Axiom Capital Management Inc. from October 21, 2002, to December 31, 2025. See below to learn more about disclosures involving Robert Doyle. Axiom Capital Management […]

Investors potentially incurred losses because of securities broker Donald Richard Abaunza Jr. [CRD: 3172450, Harvey, Louisiana], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Abaunza worked for Hancock Whitney Investment Services Inc. from February 8, 2012, to August 10, 2022, and thereafter worked for Cetera Investment Services LLC and Cetera Investment Advisers […]

Investors have reportedly disputed the sales practices of securities broker John Edward Ledford [CRD: 2960837, Orlando, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ledford worked for Ameriprise Financial Services LLC from September 5, 2014, to June 23, 2020, and later joined Fortress Wealth Group LLC in June 2020, where he has […]

Investors potentially experienced sales practice violations by securities broker James Patrick Jenkins [CRD: 5261717, Logan, Utah], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jenkins worked for Wealth Enhancement Brokerage Services LLC and Wealth Enhancement Advisory Services LLC since January 2, 2026, and previously worked for firms including Strategic Advocates LLC from September […]

Investors potentially experienced sales practice violations by securities broker Daniel Joseph McClory (also known as Dan McClory) [CRD: 1390780, Irvine, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McClory worked for Boustead Securities LLC beginning July 25, 2016, later became registered with Sutter Securities Incorporated on November 27, 2019, registered […]

FINRA suspended securities broker Jonathon Mark Webster (also known as Jon Webster) [CRD: 1286778, Carlsbad, California], and investors complained about him, according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jonathon Webster worked for Stifel Nicolaus Company Incorporated from December 6, 2019, to February 15, 2024. See the following information to find […]

Investors potentially incurred losses because of securities broker Michael William Jarvis [CRD: 2160274, McKinney, Texas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jarvis worked for Cetera Wealth Services LLC beginning on November 1, 2017, and later became registered with Cetera Investment Advisers LLC on June 29, 2023, after previously being […]

Investors might have sustained losses due to securities broker Joshua Lofton Baker (also known as Joshua Baker Ford) [CRD: 5230762, Hoover, Alabama], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Baker worked for MML Investors Services LLC from June 15, 2017, to December 7, 2023, and later worked for OneAmerica Securities […]

Investors potentially incurred losses because of securities broker Joseph Pierre Barreca Jr. (also known as Joe Barreca) [CRD: 3276048, Metairie, Louisiana], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Barreca has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since October 11, 2024, and previously worked for […]