Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Vinessa Renee Christian (CRD: 1860324, New York, NY). Christian previously worked for UBS Financial Services Inc. from September 2005 to April 2023 and was also registered with RBC Dain Rauscher Inc. and Tucker Anthony Incorporated. Recent disclosures reveal concerns about Christian’s conduct, leading to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Tracy Marie Longstreet (also known as Tracy Marie Sorth) [CRD#: 1768525, Houston, Texas]. Longstreet previously worked for UBS Financial Services Inc. from January 2009 to May 2024. Recent disclosures reveal concerns about Longstreet’s conduct, including allegations of ongoing theft from client accounts and the […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Steve Allen Moise (also known as Steve Allen, Steve Alan Moise) [CRD: 4995443, Mineola, New York]. Moise previously worked for multiple brokerage firms, including Joseph Stone Capital L.L.C. from 2016 to 2022. Recent disclosures reveal regulatory actions and client disputes concerning Moise’s alleged excessive […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ryan T. Murphy (CRD: 4332032, Savannah, Georgia). Murphy was registered with Truist Investment Services Inc. from February 2006 to May 2024. Recent regulatory actions have resulted in a permanent bar from the securities industry following allegations related to misconduct and failure to comply with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Lawrence Roger Rice (CRD#: 375304, Lauderdale by the Sea, Florida). Rice was previously registered with multiple firms, including Centaurus Financial Inc. (2022-2024) and Ameriprise Financial Services Inc. (2014-2022). Recent disclosures indicate that FINRA has permanently barred Rice from acting as a broker or associating […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John Christoforidis (CRD: 2841315, Garden City, New York). Christoforidis previously worked for multiple brokerage firms, including Spartan Capital Securities LLC from 2016 to 2024. Recent regulatory actions disclose that FINRA has barred Christoforidis from the securities industry following his refusal to provide on-the-record testimony […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gary Francis Harpe [CRD: 2983634, Farmington Hills, Michigan]. Harpe worked for PFS Investments Inc. from February 1998 to January 2023 before being barred by FINRA. Recent disclosures raise concerns regarding Harpe’s professional conduct, leading to regulatory action and criminal allegations. Regulatory Actions and Sanctions […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian James Pavelko [CRD: 6347352, Milpitas, California]. Brian Pavelko has an employment history spanning several firms. He has been registered with NI Advisors in Milpitas, California, since March 13, 2022. Previously, Pavelko worked for SW Financial from September 2018 to March 2022, Democracy Funding […]

FINRA barred Marion Strickler Adams III (also known as Ma'on Adams) [CRD: 1392435, Mobile, Alabama], and an investor complained about the securities broker, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Marion Adams worked for Raymond James Associates Inc. from February 13, 2013, to November 5, 2021, and for The Jeffrey Matthews […]