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 […]

Investors potentially experienced sales practice violations because of securities broker Jason Keith Norton [CRD: 4776196, Carrollton, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Norton has worked with LPL Financial LLC since July 20, 2011, and also with Independent Advisor Alliance LLC since September 24, 2018. Below, individuals can understand more about […]

Investors might have sustained losses because of securities broker Christopher Todd Robinson (also known as Chris Robinson) [CRD: 2582006, Argyle, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Robinson has worked with LPL Financial LLC since February 14, 2018, and has also been associated with RFG Wealth Advisory since May 5, […]

Investors might have sustained losses due to securities broker Travis James [CRD: 4297837, Atlanta, Georgia], based on publicly available information reported on FINRA BrokerCheck. Travis James has worked with LPL Financial LLC since January 10, 2002, and with Benedict Financial Advisors Inc. since May 21, 2004. Both firms are located in Atlanta, Georgia. Keep reading […]

One or more investors potentially experienced sales practice violations because of securities broker Stanely Kent Patrick Jr. [CRD: 6087163, Valdosta, Georgia], according to publicly available information reported on FINRA BrokerCheck. Stanley Patrick worked for LPL Financial LLC from August 26, 2014, to August 16, 2019. See the following information to understand more about the disclosures […]

Investors might have sustained losses due to securities broker Stacy Bryant Bush [CRD: 4190887, Valdosta, Georgia], according to disclosures on FINRA BrokerCheck. Evidently, Stacy Bush worked for LPL Financial LLC from November 5, 2004, to August 16, 2019. Check out the following information about the disclosures involving Bush. LPL Financial Investor Accused Bush Of Unsuitable […]