FINRA Department of Enforcement brought a Complaint against securities broker Ali F. Chehab [CRD: 7625979, Portland, Oregon], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chehab worked for Merrill Lynch from July 24, 2023, to August 9, 2024. Keep reading to find out more about Chehab’s regulatory disclosures and investor […]

Investors reportedly complained about securities broker Adam Marquardt [CRD: 5307192, Rochester, Minnesota], according to publicly available information on FINRA BrokerCheck. Evidently, Marquardt worked for Cetera Advisors LLC from August 7, 2020, to July 21, 2022, and Wells Fargo Advisors Financial Network LLC from April 23, 2010, to August 21, 2020. Keep reading to learn more […]

Investors might have sustained losses through securities broker Sean Francis Mostero [CRD: 6447158, Torrance, California], according to public information found on FINRA BrokerCheck. Evidently, Mostero worked for First Allied Securities Inc. from July 7, 2017, to September 8, 2022, Cetera Advisors LLC from September 8, 2022, to May 3, 2023, and LPL Financial LLC from […]

FINRA barred securities broker Michael Richard Rosalia [CRD: 2323953, Melville, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rosalia worked with SW Financial from April 5, 2021, until August 29, 2022, before the firm itself was expelled by FINRA in May 2023. Before that, he was employed at Worden […]

FINRA barred securities broker Jody Ryan Vander Weide (also known as Jody Vanderweide) [CRD: 2571083, Grand Rapids, Michigan], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Weide worked for Osaic Wealth Inc. from July 11, 2024, to April 25, 2025. Keep reading to learn more about Weide’s disclosures and regulatory […]

One or more investors possibly experienced losses due to securities broker Jordan Paul McLendon [CRD: 6410265, St. Petersburg, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McLendon worked for several brokerage firms, including Raymond James Associates Inc. from October 6, 2023 to July 11, 2024; UBS Financial Services Inc. from December […]

FINRA barred securities broker Szczepan Kosmaczewski (also known as Steven Kostis) [CRD: 7192377, New York, New York], according to publicly available information on FINRA BrokerCheck. It appears that Kosmaczewski worked for PHX Financial Inc. from November 19, 2024 to February 10, 2025; Craft Capital Management LLC from March 23, 2022 to November 20, 2023; Joseph […]

FINRA barred securities broker Glenn Ngo [CRD: 7200876, San Diego, California], according to public information on FINRA BrokerCheck. Notably, Ngo worked for Park Avenue Securities LLC from March 22, 2023 to March 4, 2025, and Northwestern Mutual Investment Services LLC from February 11, 2022 to March 21, 2023. Read on to learn more about the […]

FINRA barred securities broker Linda Lucille Sokol Francis (also known as Linda Gundelach) [CRD: 811073, Brookfield, Illinois], and investors complained about her, according to disclosures on FINRA BrokerCheck. It appears that Sokol Francis worked for Waddell Reed from August 14, 1975 to July 21, 2021, and then for LPL Financial LLC from July 21, 2021 […]