Investors apparently complained about securities broker Darrell Dominic Delphen [CRD: 1603277, Dallas, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Delphen worked for Independent Financial Group LLC from May 18, 2012, to the present as a securities broker and from January 24, 2018, to the present as a financial advisor, […]

Investors have reportedly disputed the sales practices of securities broker Mitchell Jay Stillman [CRD: 1015970, Scottsdale, Arizona], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mitchell Stillman worked for Wells Fargo Clearing Services LLC beginning on September 4, 1990, and also worked for Wells Fargo Advisors beginning on August 1, 2005. […]

Investors might have sustained losses due to securities broker Richard Stephen Pluta [CRD: 1232948, Greenwich, Connecticut], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pluta has been registered with Merrill Lynch since January 26, 1984, and has been registered as a financial advisor with the same firm since October 22, 1990. See the […]

Investors potentially experienced sales practice violations by securities broker Craig Michael Skop [CRD: 2301924, New York, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Skop has been registered with ThinkEquity LLC since April 20, 2018, and disclosures also reference earlier activity involving Prime Charter Ltd. and R D White […]

Investors have reportedly disputed the sales practices of securities broker Timothy Patrick Sweeney [CRD: 2669172, Santa Barbara, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Sweeney has worked for Centaurus Financial Inc. beginning on September 9, 2015, and previously worked for Raymond James Financial Services Inc. during earlier periods of his […]

Investors apparently complained about securities broker Kevin Winthrop Paasch [CRD: 2213833, Virginia Beach, Virginia], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Paasch has worked for MML Investors Services LLC since August 17, 2005. Investors should review the information below to learn more about disclosures involving Paasch’s conduct as a securities […]

Investors might have sustained losses due to securities broker Mark Joel Rubin [CRD: 1936202, San Rafael, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rubin has worked for Raymond James Associates Inc. as a securities broker since March 24, 2016, and as a financial advisor since March 25, 2016. Investors […]

Investors might have sustained losses due to securities broker Zachary Andrew Harless (also known as Zack Harless) [CRD: 5525364, Manteca, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zachary Harless has worked for Wells Fargo Clearing Services LLC since July 22, 2013, and for Wells Fargo Advisors since July 23, 2013. Investors […]

Investors potentially experienced sales practice violations by securities broker Richard Aaron Huppert [CRD: 2375483, Brooklyn, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Huppert has been registered with Cetera Wealth Services LLC since September 20, 2019. Investors are encouraged to keep reading to discover more about the disclosures […]