Investors potentially incurred losses because of securities broker Michael Douglass Frost [CRD: 2000358, Colorado Springs, Colorado], based on public information on Financial Industry Regulatory Authority BrokerCheck. Frost worked for LPL Financial LLC from November 29, 2017, to September 18, 2025, and has worked for Cetera Advisors LLC since September 17, 2025. See below to discover […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Lincoln Lucas Mason [CRD: 7057393, Arnolds Park, Iowa], given the disclosures on FINRA BrokerCheck. Evidently, Mason worked for Edward Jones from March 29, 2019, to December 23, 2021. Continue reading to learn more about Mason's disclosures. FINRA Sanctions […]

Jeffrey Rachlin (CRD #823547, Registered Principal, Pleasantville, New York)   has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000, suspended from association with any FINRA member in any capacity for 30 business days, and suspended from association with any FINRA member in any principal capacity for 18 months. The […]