SEC sanctioned securities broker Steven Robert Graham (also known as Steve Graham) [CRD: 1977736, Valencia, California], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Graham worked for Western International Securities Inc. from September 4, 2020, to June 5, 2025, before joining LPL Financial LLC on June 5, 2025. […]

Investors have reportedly disputed the sales practices of securities broker Mark Andrew D'Ercole (also known as Mark Andrew Dercle and Mark Anthony Dercle) [CRD: 820220, San Francisco, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark D’Ercole worked for Portsmouth Financial Services from February 21, 2003, to December 31, 2022. […]

Investors potentially experienced sales practice violations by securities broker Walter David Nagle (also known as Wally Nagle) [CRD: 2208043, Orland Park, Illinois], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nagle has worked for Ausdal Financial Partners Inc. since July 7, 2011. Investors are encouraged to continue reading to find out […]

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 may have suffered financial losses connected to securities broker Michael Arthur Sebald (also known as Mike Sebald) [CRD: 1426782, Oshkosh, Wisconsin], based on information reported in Financial Industry Regulatory Authority (FINRA) BrokerCheck. Records show that Sebald was associated with Landolt Securities Inc. from January 15, 2009, until August 18, 2023. The information below outlines […]

Investors potentially experienced sales practice violations by securities broker Mark Alan Cline [CRD: 3206962, Wildwood, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cline worked for National Securities Corporation from January 8, 2014, to January 21, 2022, and for B. Riley Wealth Management from October 22, 2021, to January 4, […]

Investors potentially experienced sales practice violations by securities broker Randall Duggan [CRD: 5559097, Lynden, Washington], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Randall Duggan worked for Moloney Securities Co. Inc. from January 29, 2016, to December 5, 2025, and Moloney Securities Asset Management LLC from February 23, 2016, to December 5, […]

Investors have reportedly disputed the sales practices of securities broker Robert Kent Hiss [CRD: 1599380, Wichita, Kansas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hiss has been registered with IFP Securities LLC since May 23, 2019, and has also worked as an investment adviser with Independent Financial Partners since November […]

Investors potentially incurred losses because of securities broker Scott Stanley Brooks [CRD: 3235252, San Clemente, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Brooks has been registered with Newbridge Securities Corporation since August 16, 2007, and with NFSG Corporation since September 6, 2007. Investors should continue reading to discover […]