William Tunink (CRD: 2738224) settled a customer claim for $299,000 on August 11, 2026, according to his BrokerCheck report. The customer alleged that he obtained loans from the customer, and that some of the money went into an investment.

Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.

Timothy Alan Volker [CRD: 6822657, Phoenix, Arizona], worked for LPL Financial LLC from August 12, 2021, to September 2, 2025. Read on to find out more about Volker’s disclosures. FINRA Investigates Volker For Outside Business Activities Timothy Volker is the subject of an investigation initiated by FINRA on March 1, 2026, into allegations that Volker […]

Investors potentially incurred losses because of securities broker Chad Michael Tusa [CRD: 4524325, Metairie, Louisiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tusa worked for Crown Capital Securities L.P. from April 29, 2002, to May 1, 2024, and LPL Financial LLC from May 1, 2024, to May 20, 2026. Read on […]

Investors potentially incurred losses because of securities broker Michael Douglass Frost [CRD: 2000358, Colorado Springs, Colorado], based on public information on Financial Industry Regulatory Authority BrokerCheck. Frost worked for LPL Financial LLC from November 29, 2017, to September 18, 2025, and has worked for Cetera Advisors LLC since September 17, 2025. See below to discover […]

Investors potentially incurred losses because of securities broker Jonathan Blount [CRD: 5700831, Ruston, Louisiana], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jonathan Blount has worked for LPL Financial LLC since October 13, 2016, in Ruston, Louisiana. Read on to find out more about disclosures involving Jonathan Blount. LPL Financial Investor […]

Investors potentially experienced sales practice violations by securities broker Andrew Martz [CRD: 5118326, Southlake, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Andrew Martz worked for Western International Securities Inc. and Western International Securities from July 13, 2017, and July 14, 2017, respectively, through June 5, 2025, and has been registered with […]

Investors may have suffered financial harm by securities broker Tracy Lynn Helmer (also known as Tracy Lynn Poole) [CRD: 4803908, Evansville, Indiana], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Helmer has been registered with LPL Financial LLC as a securities broker since November 12, 2012, and as a financial advisor since […]

Investors have reportedly disputed the sales practices of securities broker Michael Laine [CRD: 1244072, El Segundo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Laine worked for LPL Financial LLC from September 8, 2009, to May 5, 2026, before registering with Purshe Kaplan Sterling Investments and PKS Advisory Services LLC on […]