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. […]

Investors might have sustained losses due to securities broker Christopher Steven Coffey [CRD: 6850994, Johnson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christopher Coffey worked for Allstate Financial Services LLC from November 25, 2019, to December 15, 2023, and for NYLIFE Securities LLC from April 10, 2018, to December […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker JR Richard Allen Ceffalio Jr. (also known as Rich Ceffalio) [CRD: 2619565, Arlington Heights, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Ceffalio worked for LPL Financial LLC from November 15, 2019, to […]

Investors might have sustained losses due to securities broker Todd Ray Anderson [CRD: 1896352, Tucson, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Todd Anderson worked for Benchmark Investments LLC from September 17, 2019, to May 15, 2023, and Cetera Advisors LLC from March 21, 2014, to October 4, 2019. Keep […]

Investors might have sustained losses because of securities broker Richard John Webb [CRD: 6712838, Beachwood, Ohio], according to disclosures on FINRA BrokerCheck. Evidently, Webb worked for Park Avenue Securities LLC from August 6, 2019, to February 3, 2023. Keep reading to learn more about Richard Webb’s disclosures. Regulator Sanctioned Webb For Failing To Respond To […]