Investors potentially experienced sales practice violations by securities broker Karl Wolfgang Suess [CRD: 5255922, Chicago, Illinois], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Suess worked for Great Point Capital LLC from November 13, 2020, through March 26, 2026. He also worked for Great Point Advisors LLC from November 13, 2020, […]

Investors may have suffered financial harm by securities broker Gustavo Reis Ventura [CRD: 7028571, Fort Lauderdale, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ventura worked for Merrill Lynch from February 14, 2019, through March 3, 2025. He joined Edward Jones on February 28, 2025. Investors are encouraged to continue […]

Investors might have suffered losses due to securities broker N. David Hoover (also known as Dave Hoover) [CRD: 1722534, Moraga, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Hoover worked for Stifel Nicolaus from May 28, 2014, to the present. Investors are encouraged to continue reading to discover more about […]

Investors might have sustained losses because of securities broker Sean Patrick McGerr [CRD: 2676426, Lincoln, Nebraska], based on publicly available information reported on FINRA BrokerCheck. Sean McGerr worked for UBS Financial Services Inc. from February 20, 2009, to February 23, 2021, and works for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since February […]

Investors may have incurred losses because of securities broker William Thomas Avery [CRD: 2269289, Birmingham, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avery has worked with UBS Financial Services Inc. since August 16, 1996, operating out of both Birmingham and Detroit, Michigan offices. Keep reading to learn more about Avery’s disclosures […]

One or more investors may have incurred losses due to securities broker James B. Dorney [CRD: 2997467, New Haven, Connecticut], according to publicly available information reported on FINRA BrokerCheck. James Dorney has worked with UBS Financial Services Inc. in New Haven and Milford, Connecticut, since March 27, 2009. See the following information to understand more […]

Investors might have sustained losses due to securities broker Kenneth Scott Wingerter (also known as Ken Wingerter) [CRD: 2741587, Naples, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kenneth Wingerter worked for Morgan Stanley since May 14, 2021, and was previously employed by Wells Fargo Clearing Services LLC from May 12, […]

One or more investors apparently complained about securities broker Dwight Kristopher Kay [CRD: 5376903, Torrance, California], based on disclosures on FINRA BrokerCheck. Evidently, Dwight Kay worked for FNEX Capital LLC starting January 21, 2022, and previously was registered with Growth Capital Services Inc. from July 23, 2020, to January 14, 2022, and with WealthForge Securities […]

Investors reportedly may have incurred losses due to securities broker Randall Earl McGill [CRD: 1309727, Homer Glen, Illinois], according to disclosures on FINRA BrokerCheck. According to the regulator, McGill has worked for Ausdal Financial Partners Inc. since June 9, 2015. Prior to this, he was registered with the same firm in Davenport, Iowa, as an […]