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 […]

FINRA fined and suspended securities broker Thomas Gregory Scheiman [CRD: 1508288, Parma, Ohio], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scheiman worked for Independence Capital Co. Inc. beginning March 8, 1990, and later served as an investment adviser with the same firm starting April 1, 2003. Investors can see below to […]

Investors have reportedly disputed the sales practices of securities broker Ricardo Nkrumah Rose (also known as Richard Rose) [CRD: 4225756, Brooklyn, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ricardo Rose worked for Arive Capital Markets from October 27, 2015, to April 23, 2024. Investors should keep reading to […]

Investors have reportedly disputed the sales practices of securities broker David Theodore Bulow [CRD: 5834367, Milpitas, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Bulow worked for NI Advisors from May 19, 2015, to May 22, 2024. Investors can see below to learn more about the disclosures involving this […]

MICHAEL RODGER PINEDA (MICHAEL R PINEDA) is currently registered as an investment advisor with LIFEMARK SECURITIES CORP. of Denver, Colorado since 9/19/2017. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MICHAEL R PINEDA has been in the securities industry for 30 years, has been listed with 13 firms, and has 3 disclosures on […]

Investors potentially experienced sales practice violations due to securities broker Robert John Gustafson [CRD: 5753473, Epping, New Hampshire], according to disclosures on FINRA BrokerCheck. Evidently, Gustafson has been registered with Moloney Securities Co. Inc. since September 18, 2015, and with Moloney Securities Asset Management LLC since March 13, 2017. See the following information to find […]

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 […]

Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: WESTERN INTERNATIONAL SECURITIES, INC. (WIS). (Respondent) The Claimant is in his late sixties and lives in California. On or about 2019, the Claimant was invited to a presentation on retirement income by a WESTERN INTERNATIONAL SECURITIES’ former broker. The lawsuit alleges […]