One or more investors apparently complained about securities broker Jeffrey K. Johnson (also known as Jeffrey Johnson) [CRD: 4769233, Denver, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jeffrey Johnson has been registered with UBS Financial Services Inc. since December 5, 2008, working from offices located at 4600 S. Ulster Street […]

Investors potentially experienced sales practice violations due to securities broker Katy Yun Zhao (also known as Katy Zhao) [CRD: 5264406, Pasadena, California], according to disclosures on FINRA BrokerCheck. Evidently, Katy Zhao worked for Morgan Stanley from November 3, 2009, as a broker and from December 23, 2016, as an investment adviser. Keep reading to find […]

Investors potentially experienced losses due to securities broker Steven Richard Baaden (also known as Steve Baaden [CRD: 1266766, Dallas, Texas], according to disclosures on FINRA BrokerCheck. It appears that Steven Baaden worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 2011 to January 2013, and is currently registered with Oppenheimer Co. Inc. since February […]

Investors potentially experienced losses due to securities broker Rodney Lee Boelter (also known as Rod Boelter) [CRD: 3199789, Scottsdale, Arizona], according to disclosures on FINRA BrokerCheck. It appears that Boelter worked for MML Investors Services LLC from March 25, 2017, to August 2, 2021. He is currently registered with Osaic Wealth Inc., located in Scottsdale, […]

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 […]