Investors supposedly complained about securities broker Francisco Javier Cabral [CRD: 5257195, Greenwich, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Francisco Cabral worked for David Lerner Associates Inc. in White Plains, New York, from January 5, 2007, to October 20, 2021, and has worked with Ameriprise Financial Services LLC in Greenwich, Connecticut, […]

Investors potentially experienced losses because of securities broker Walter Hugh Brown [CRD: 2520963, Melville, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Brown worked for American Portfolios Advisors Inc. in Holbrook, New York, and American Portfolios Financial Services Inc. in Hauppauge, New York, from September 26, […]

One or more investors apparently complained about securities broker Sharon Lynn Pensabene [CRD: 2368040, Lompoc, California], according to disclosures on FINRA BrokerCheck. Sharon Pensabene worked for NYLIFE Securities LLC from July 25, 1997 to February 1, 2024. Keep reading to learn more about the securities broker’s disclosures and what they could mean for investors. NYLIFE […]

Investors reportedly may have incurred losses because of securities broker Paul Wayne Edwards [CRD: 5967107, Palm Bay, Florida], according to disclosures on FINRA BrokerCheck. Apparently, Paul Edwards worked for NYLIFE Securities LLC from August 20, 2012, to June 2, 2023. Keep reading to learn more about the client complaints involving this broker. FINRA Sanctioned Edwards […]

Investors reportedly may have incurred losses due to securities broker Kathy Ann Borkovec (also known as Kathy Ann Berry and Kathy Ann Wallenfang) [CRD: 1867575, Northbrook, Illinois], according to disclosures on FINRA BrokerCheck. Borkovec has worked for Charles Schwab Co. Inc. since January 9, 2006, as a broker and since March 9, 2006, as an […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Zachary McCraw (also known as Zach Ross McCraw) [CRD: 7003820, Ridgeland, Mississippi]. McCraw was previously registered with Pruco Securities LLC from November 2018 to July 2023, serving as a registered representative. Recent disclosures reveal concerns about McCraw’s conduct, including allegations of submitting non-genuine electronic […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Jordan Stentiford [CRD: 6946439, Ridgeland, Mississippi]. Stentiford worked for Northwestern Mutual Investment Services LLC from February 24, 2020, to November 29, 2023. Here’s more on a FINRA investigation that resulted in Stentiford being barred as a securities broker. FINRA Barred Jordan Stentiford For Refusing […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker John Abraham Perez-Cubero [CRD: 6674954, Short Hills, New Jersey]. Perez-Cubero worked for Morgan Stanley from April 4, 2018, to October 6, 2023. His refusal to comply with a FINRA investigation has led to his expulsion from the securities industry. Read on to learn more […]

Investors possibly experienced losses because of securities broker Robert Frederick Blake [CRD: 22955, Greenwood Village, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robert Blake worked for Cambridge Investment Research Inc. from November 19, 2012, to December 31, 2018. Here’s an overview of the securities broker’s disclosures. Cambridge Investment Research Inc. […]