Brad Joseph Katzer (CRD: 6627091), a securities broker based in Port Washington, Wisconsin, was named in a client complaint alleging investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Katzer has been registered with Equitable Advisors LLC as a broker since October 2, 2017, and as a financial advisor since May 9, 2018. Here’s […]

Gary Talbot (CRD: 3059670), a securities broker based in New York, New York, has worked for Spartan Capital Securities LLC since February 29, 2016. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures, he was sanctioned over a pattern of excessive trading that may have caused investor losses. Here’s more about the regulatory action against […]

Without admitting or denying the findings, Howard Kavinsky (CRD: 5881623) consented to FINRA findings that he falsified at least 190 consolidated account statements, according to BrokerCheck. Those statements covered at least eight customers, some of whom were seniors.

Robert Burns (CRD: 1286211) faces a pending customer claim that alleges excessive trading and $200,000 in damages, according to BrokerCheck. The claim names Burns Financial Advisors, his outside RIA.

Tory A. Duggins (CRD #4556340, Bronx, New York) was barred from association with any FINRA member in all capacities, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. An Office of Hearing Officers decision became final on July 6, 2026. FINRA Case #2025084815701 is the case number listed for the matter.

Financial Industry Regulatory Authority initiated a complaint against securities broker Keith Charles Moore [CRD: 5191450, Irvine, California], based on public information on BrokerCheck. Moore worked for Sutter Securities Clearing LLC from August 24, 2017, to February 16, 2024, and Sutter Securities Incorporated from April 17, 2019, to February 16, 2024. Continue reading to learn more […]

Investors potentially incurred losses because of securities broker Tory Duggins [CRD: 4556340, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Duggins worked for Spartan Capital Securities LLC from February 29, 2016, to January 31, 2024. See below to find out more about Duggins’s disclosures. FINRA Sanctioned Duggins […]

Investors might have sustained losses due to securities broker Danny Shiva Sookram [CRD: 6113338, Melville, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sookram worked for Equitable Advisors LLC as a securities broker from April 7, 2017, to March 17, 2026, and as a financial advisor from February 26, 2018, to […]

Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]