Investors might have sustained losses due to securities broker Anthony Steven Martinelli [CRD: 2590758, Berwyn, Pennsylvania], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Martinelli joined LPL Financial LLC on June 13, 2014, and Jacobi Capital Management LLC on June 13, 2014. Read on to know more about […]

Investors potentially experienced sales practice violations because of securities broker Amy Nuttall Zwaan (also known as Amy Elizabeth Nuttall) [CRD: 4857906, Clovis, California], according to publicly available information on FINRA BrokerCheck. It appears that Nuttall Zwaan worked for LPL Financial LLC from November 14, 2022 to May 29, 2024. He works with Alexander Capital, L.P. […]

FINRA barred securities broker Linda Lucille Sokol Francis (also known as Linda Gundelach) [CRD: 811073, Brookfield, Illinois], and investors complained about her, according to disclosures on FINRA BrokerCheck. It appears that Sokol Francis worked for Waddell Reed from August 14, 1975 to July 21, 2021, and then for LPL Financial LLC from July 21, 2021 […]

Investors reportedly complained about securities broker Jason Peter Doneth (also known as Jason Peter Daneth) [CRD: 4696330, Salem, Oregon], according to publicly available information on FINRA BrokerCheck. It appears that Doneth worked for LPL Financial LLC from February 13, 2004 to May 21, 2015, and joined Ameriprise Financial Services LLC on May 15, 2015. Keep […]

Investors potentially experienced sales practice violations because of securities broker Eric Scott Ruthman [CRD: 6281076, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ruthman joined Purshe Kaplan Sterling Investments on August 11, 2021, and Phase Line Capital LLC on July 12, 2021. He previously worked for LPL Financial LLC in […]

FINRA suspended and fined securities broker Jose Antonio Navarro (also known as Tony Navarro) [CRD: 2250454, Los Angeles, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Navarro worked for Independent Financial Group LLC from December 7, 2017 to August 15, 2023, and LPL Financial LLC from September 8, 2009 to December […]

Investors potentially experienced sales practice violations due to securities broker Michael Clifford Graham [CRD: 3263494, El Paso, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Graham worked for LPL Financial LLC from April 24, 2019 to June 23, 2025, and for Principal Securities Inc. from January 26, 2012 to May 2, […]

One or more investors apparently complained about securities broker Kenneth David Wright (also known as Ken Wright) [CRD: 1889354, Kingsport, Tennessee], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kenneth Wright worked for Osaic Institutions Inc. at its Kingsport and Johnson City, Tennessee locations starting March 1, 2016, in a brokerage capacity, and […]

Investors may have incurred losses because of securities broker William Stephen Jones (also known as Steve Jones) [CRD: 867147, Anderson, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones has worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. since January 2, 2018. Keep reading to find out […]