Investors may have suffered financial harm by securities broker Dianna Sheryl Jeffries (also known as Dianna Sheryl Friedman) [CRD: 7348577, Cary, North Carolina], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffries was registered with WS Brokerage Services Inc. from January 19, 2023, through April 8, 2026. Investors should continue reading […]

Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]

Investors potentially experienced sales practice violations by securities broker Scott Thomas Schaul [CRD: 2200484, Attleboro, Massachusetts], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schaul worked for Essex Securities LLC from March 22, 2010, to August 6, 2019, Pinnacle Investments LLC from June 28, 2019, to April 13, 2026, and has […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Vinessa Renee Christian (CRD: 1860324, New York, NY). Christian previously worked for UBS Financial Services Inc. from September 2005 to April 2023 and was also registered with RBC Dain Rauscher Inc. and Tucker Anthony Incorporated. Recent disclosures reveal concerns about Christian’s conduct, leading to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Justin Y. Gerow (CRD: 4435995, Punta Gorda, Florida). Gerow was previously registered as a broker and investment adviser. His most recent employment was with LPL Financial LLC from January 2023 to May 2023, following a 21-year tenure at PFS Investments Inc. from 2001 to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Barrett Reynolds [CRD: 5976029, Canonsburg, Pennsylvania]. Reynolds worked for Pruco Securities LLC from September 2, 2021, to January 24, 2023, and Wesbanco Securities Inc. from May 5, 2017, to March 5, 2021. Recent client disputes and regulatory actions about Reynolds involve allegations of […]

Investors possibly experienced losses because of securities broker Michael Gerard Gravelyn (also known as Mike Gravelyn) [CRD: 6569005, Grand Rapids, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA barred him. Evidently, Michael Gravelyn worked for Northwestern Mutual Investment Services from May 25, 2017, to June 14, 2017, […]

Investors might have sustained losses due to securities broker Lawrence William Waller II [CRD: 3232644, Atlanta, Georgia], given the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keep reading to learn more about Waller's disclosures. Waller worked for firms including Securities America Inc., WRP Investments Inc., Stonex Securities Inc. (SA Stone Wealth Management Inc.), […]

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 […]