Investors complained about securities broker Marc Edmond Haggar [CRD: 4146965, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Marc Haggar has worked for UBS Financial Services Inc. since December 6, 2011. The following information is an overview of the securities broker’s disclosures. UBS Financial Services Investor Accused Haggar Of Failure […]

Investors complained about securities broker Gary William Holland [CRD: 852976, Leominster, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gary Holland worked for Ameriprise Financial Services Inc. until 2015. He joined Cetera Investment Advisers in 2023 and Cetera Advisor Networks in 2021. Here’s more about the securities broker’s disclosures and the […]

Investors potentially sustained damages through securities broker Thomas Michael Moran (also known as Tom Moran) [CRD: 709062, Naples, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Moran worked for Wells Fargo Advisors Financial Network LLC from November 15, 2018, to August 30, 2022, and for Wells Fargo Clearing Services LLC […]

Investors possibly experienced losses because of securities broker Jeffry Neal Carel (also known as Jeff Carel) [CRD: 4935789, Edmond, Oklahoma], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jeffry Carel worked for JP Morgan Securities LLC from October 1, 2012, to October 25, 2023, before his current employment with Wells Fargo Clearing […]

Investors might have sustained losses due to securities broker Roy Chuck Waugh [CRD: 2130562, Lawton, Oklahoma], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Roy Waugh joined Ameriprise Financial Services LLC on May 6, 1991. Here’s more about the securities broker’s disclosures. Ameriprise Financial Services Client Accused Waugh Of Beneficiary Change Issue […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Mitchell Ross Pindus (also known as Mitchell Pindus) [CRD: 1268550, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mitchell Pindus joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors, in June […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Jae Hun Kim [CRD: 4620963, Cortlandt Manor, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jae Kim worked for E1 Asset Management from February 6, 2003, to March 4, 2024. Here’s more about […]

Investors might have sustained losses due to securities broker Todd Mathew Bruns [CRD: 2717729, Folsom, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bruns has been registered with Edward Jones since October 17, 2003. Continue reading to learn more about the disputes involving Bruns. Edward Jones Client Accused Bruns Of […]

Investors might have sustained losses due to securities broker Jack Edward Newhouse [CRD: 2108923, Muskegon, Michigan], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jack Newhouse was previously registered with Merrill Lynch Pierce Fenner Smith Incorporated from March 27, 2009, to June 9, 2022. Continue reading to learn more about Newhouse’s […]