Investors potentially experienced sales practice violations by securities broker Christopher J. Braccia (also known as Chris Braccia) [CRD: 3273855, Ridgefield, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Braccia has worked with Cetera Advisors LLC since September 8, 2022, and Cetera Investment Advisers LLC since November 12, 2020; previously, he was registered […]

Investors potentially experienced sales practice violations by securities broker Ivan Michael West [CRD: 4921015, San Clemente, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. West worked for WestPark Capital Inc. from November 1, 2017, to June 8, 2020, and has been registered with American Trust Investment Services Inc. since June […]

Investors apparently complained about securities broker Stephen Yauman Kwan (also known as Steve Kwan) [CRD: 3183681, Spicewood, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kwan worked for Madison Avenue Securities LLC from April 3, 2006, to November 20, 2022. Investors are encouraged to review the information below to discover more about […]

FINRA suspended securities broker Martin Lerner [CRD: 871038, Boca Raton, Florida], and investors complained about him, based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin Lerner worked for David Lerner Associates Inc. from April 22, 1994, through May 31, 2024, where he served in registered and principal capacities. Investors should review […]

Investors potentially incurred losses because of securities broker Gail Castleman Hilder (also known as Gail Patricia Castleman and Gail Patricia Hilder) [CRD: 1155270, Belle Haven, Virginia], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gail Hilder worked for Centaurus Financial Inc. from February 3, 2010, to December 8, 2021. Investors should […]

Investors potentially experienced sales practice violations by securities broker Donald Trendley McKiernan [CRD: 1305965, Lake Bluff, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McKiernan worked for Landolt Securities Inc. beginning on November 8, 2005, as a securities broker and starting January 6, 2006, as a financial advisor. Investors are encouraged to […]

FINRA fined and suspended securities broker Thomas Gregory Scheiman [CRD: 1508288, Parma, Ohio], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scheiman worked for Independence Capital Co. Inc. beginning March 8, 1990, and later served as an investment adviser with the same firm starting April 1, 2003. Investors can see below to […]

Investors potentially incurred losses because of securities broker Jason Christopher Cook [CRD: 4349388, Graham, North Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Cook worked for Berthel Fisher Company Financial Services Inc. beginning January 3, 2006, BFC Planning Inc. beginning November 7, 2018, and Berthel Fisher Company Financial […]

Investors potentially incurred losses because of securities broker William Lefkowitz [CRD: 1170503, Livingston, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lefkowitz worked for National Securities Corporation from November 17, 2012, to July 22, 2022, and later joined B. Riley Wealth Management on July 22, 2022, where he remains registered. Readers […]