Investors potentially experienced sales practice violations due to securities broker Michael Christopher Rudio [CRD: 6322313, Atlanta, Georgia], according to public information on FINRA BrokerCheck. Rudio has worked for Purshe Kaplan Sterling Investments since August 11, 2021, and for Phase Line Capital LLC since July 12, 2021. Previously, he worked with LPL Financial LLC from August […]

Investors potentially experienced sales practice violations due to securities broker Gregory Ellis Gann (also known as Ellis Levin Gann) [CRD: 2144505, Baltimore, Maryland], based on disclosures on FINRA BrokerCheck. Gann has worked for LPL Financial LLC since November 24, 2005, working out of offices in Baltimore, Columbia, and Annapolis, Maryland. Read on to learn more […]

Investors might have sustained losses due to securities broker Mikyung Oh (also known as Mikee Oh) [CRD: 2403670, Greenwood Village, Colorado], according to disclosures on FINRA BrokerCheck. Evidently, Oh worked for LPL Financial LLC from November 18, 2011, to December 31, 2019. Keep reading to learn more about the disclosures involving Oh. LPL Financial LLC […]

FINRA brought a complaint against securities broker Nana Kwame Kwakye-Bissah [CRD: 7044974, Washington, District of Columbia], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kwakye-Bissah worked for LPL Financial LLC from July 27, 2023, to October 7, 2024; Fidelity Brokerage Services LLC from May 14, 2020, to June 10, 2023; and […]

Investors reportedly complained about securities broker Barry Luther Buchholz (also known as Barry Bucholz) [CRD: 1583582, Cedar Rapids, Iowa], according to disclosures on FINRA BrokerCheck. Evidently, Buchholz worked for LPL Financial LLC from October 11, 2021, to November 29, 2024; Private Client Services LLC from April 25, 2018, to October 7, 2021; and Cambridge Investment […]

Regulators suspended securities broker Kyle Joon Kim (also known as Kyo Kim) [CRD: 2446395, Summit, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kyle Kim worked for The Leaders Group Inc. from May 28, 2024 to May 16, 2025, and for LPL Financial LLC from February 14, 2018 to June […]

Investors may have incurred losses due to securities broker Edward Alfred Baroncini Jr. [CRD: 3043354, Bradenton, Florida], based on publicly available information found on FINRA BrokerCheck. Edward Baroncini joined LPL Financial LLC on December 11, 2014, and Excel Wealth Management LLC on January 28, 2019. See the following information to find out more about the […]

Investors might have sustained losses due to securities broker Mark Norman Miller [CRD: 1142801, White Bear Lake, Minnesota], based on publicly available information reported on FINRA BrokerCheck. Mark Miller has worked with LPL Financial LLC since February 8, 2010, and has also served as an investment adviser with the same firm since April 26, 2011. […]

Investors potentially experienced sales practice violations because of securities broker George Gomez Sr. [CRD: 2156124, El Paso, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gomez Sr. worked for LPL Financial LLC starting January 19, 2017, and works for Strategic Financial Concepts LLC since September 9, 2019. See the following information to […]