Investors may have suffered financial harm by securities broker Corey W. Wells [CRD: 7918279, Lincoln, Maine], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wells worked for MWA Financial Services Inc. from January 15, 2025, to April 14, 2026. Investors are encouraged to continue reading to learn more about Wells’s disclosures. MWA […]

Investors might have sustained losses due to securities broker Matthew James Kloos [CRD: 7292988, Monroeville, Pennsylvania], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Matthew Kloos worked for Cetera Investment Services LLC from February 21, 2024, to April 23, 2026, and previously worked for Mutual of Omaha Investor Services Inc. from August […]

Investors might have been negatively impacted by securities broker Miguel Maisterra Silva [CRD: 7810506, Houston, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Miguel Silva worked for Banorte Securities International Ltd. from February 6, 2024, to May 6, 2026. See the following information to find out more about disclosures involving […]

Investors apparently complained about securities broker Peter Thomas Lawrence [CRD: 2695687, Hauppauge, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lawrence worked for American Portfolios Financial Services Inc. from January 8, 2019, to November 21, 2023. Read on to learn more about disclosures involving Lawrence and allegations concerning […]

Investors potentially incurred losses because of securities broker Avinesh Kumar Shankar [CRD: 6232970, Roseville, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avinesh Shankar worked for Pruco Securities LLC from October 9, 2019, to March 13, 2024. Investors are encouraged to continue reading to find out more about the disclosures involving Shankar […]

Investors potentially incurred losses because of securities broker Russell A. Stout [CRD: 4525503, Syracuse, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Russell Stout worked for Osaic Wealth Inc. from September 1, 2023, to the present, and previously worked for SagePoint Financial Inc. from September 28, 2020, to […]

Investors might have sustained losses due to securities broker William Shyan Chan (also known as Wei Shyan Chan) [CRD: 3103541, Rowland Heights, California], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chan worked for Citigroup Global Markets Inc. from March 11, 2011, to the present in Rowland Heights, California. Keep reading to […]

Investors apparently complained about securities broker Jorge Alberto Valdes [CRD: 2403666, Miami, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Valdes worked for Voya Financial Advisors Inc. from July 6, 1995, to May 19, 2021, The Leaders Group Inc. from May 6, 2021, to May 13, 2021, and again […]

Investors potentially experienced sales practice violations by securities broker Douglas Robert Fisher [CRD: 3196973, Grand Rapids, Michigan], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Fisher worked for LPL Financial LLC from February 23, 2009, to November 25, 2020. Keep reading to learn more about Fisher’s disclosures. LPL Financial Investor Accused […]