Investors apparently complained about securities broker Michael Edwin Magruder [CRD: 4579211, Orlando, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Magruder worked for Merrill Lynch from August 21, 2015, to July 2, 2021, and Raymond James from July 1, 2021, to August 2, 2024. Keep reading to learn more about Magruder’s disclosures. […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Brian James Pavelko [CRD: 6347352, Milpitas, California], according to information disclosed through BrokerCheck. Pavelko worked for SW Financial from September 20, 2018, to March 3, 2022, and NI Advisors from March 13, 2022, to December 23, 2025. Investors are encouraged to continue reading to learn more about […]

Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]

Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]

Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]

Financial Industry Regulatory Authority (FINRA) sanctioned securities broker David Spencer Cooper [CRD: 5357930, New York, New York], given the public information found on BrokerCheck. Cooper worked for Joseph Gunnar Co. LLC from June 12, 2009, to June 24, 2024, and from September 24, 2024, to February 24, 2025. See below to discover more about Cooper’s […]

Investors might have sustained losses due to securities broker Jose Anthony Quinones Jr. (also known as Tony Quinones) [CRD: 1310742, Kissimmee, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Quinones worked for PFS Investments Inc. from October 29, 2014, to December 31, 2024. See below to find out more about Quinones and […]

FINRA barred securities broker Alan K. Ngo [CRD: 4273116, Freehold, New Jersey], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ngo worked for PFS Investments Inc. from January 2, 2003, to November 25, 2025. See below to learn more about Ngo’s disclosures. FINRA Sanctioned Ngo For Failing To Comply During Investigation […]

FINRA barred securities broker Kevin Christopher McCarthy [CRD: 1702715, Hialeah, Florida], and investors complained about him, based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCarthy worked for Madison Avenue Securities LLC from December 4, 2007, to January 30, 2026. Investors are encouraged to continue reading to find out more about McCarthy’s […]