Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Cape Securities Inc. from April 21, 2020, to February 25, 2026, and Cape Investment Advisory Inc. from April 6, […]

Investors potentially experienced sales practice violations by securities broker Charles Robert Cobb [CRD: 1505020, Lynchburg, Virginia], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cobb worked for Newbridge Securities Corporation from September 7, 2017, to May 31, 2022. See below to learn more about disclosures involving Cobb and allegations referenced in FINRA […]

Investors apparently complained about securities broker Michael William Mandarino [CRD: 4443175, Apollo Beach, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Mandarino has been registered with G. A. Repple Company since November 1, 2017, where he has acted as both a broker and an investment adviser. Investors should review […]

Investors apparently complained about securities broker David Ta-Wai Yu [CRD: 5484970, Fort Lauderdale, Florida], according to public information on FINRA BrokerCheck. Evidently, David Yu has been registered with IFP Securities LLC and Independent Financial Partners in Fort Lauderdale, Florida since October 25, 2019. Previously, Yu worked for Kovack Advisors Inc. and Kovack Securities Inc. from […]

FINRA fined securities broker Donald Joe Everhart (also known as Don Everhart and Donny Everhart) [CRD: 2150508, Dixon, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donald Everhart worked for Emerson Equity LLC from January 26, 2023 to August 8, 2024, and for Whitehall-Parker Securities Inc. from January 14, 2010 to […]

FINRA barred securities broker Brett Allen Rutherford [CRD: 4001310, Morehead City, North Carolina], and investors complaint about him, based on publicly available information found on FINRA BrokerCheck. Brett Rutherford worked for Capital Investment Group Inc. from September 18, 2015 to December 6, 2024. See the following information to find out more about the disclosures involving […]

FINRA sanctioned securities broker Blaine Robert Stahlman [CRD: 1189213, Castle Rock, Colorado], according to disclosures on FINRA BrokerCheck. Apparently, Blaine Stahlman worked for Professional Broker-Dealer Financial Planning Inc. from July 6, 1989, to July 8, 2024, and for American Global Wealth Management Inc. beginning May 8, 2023. He is currently registered with First Asset Financial […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have sustained financial losses involving securities broker and financial advisor, Tammie Lyn Farrell (also known as Tammie Lyn Brown, Tammie Lyn Burk, and Tammie Burk Farrell) [CRD#: 2475931, Franklin, North Carolina]. Tammie Farrell is registered both as a securities broker with Capital […]

GWG Is a TOTAL Loss, Call Us To Begin Your Recovery! Soreide Law Group is investigating prospective investor lawsuits against financial advisors that recommended GWG Holdings Inc. L Bonds to investors. Notably, GWG Holdings failed to make required principal and interest payments to investors last month. Here’s more about GWG Holdings L Bonds, including how […]