FINRA barred securities broker David Lee Jerke [CRD: 5129935, Tacoma, Washington] and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Jerke worked for LPL Financial LLC from January 14, 2021, to December 23, 2024, and for Securities America Inc. from November 6, 2020, to January 14, 2021. […]

Investors potentially experienced sales practice violations due to securities broker Peter J. Cox (also known as Peter J Cox) [CRD: 4501828, Mesquite, Nevada], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Peter Cox worked for LPL Financial LLC during the time in question. He is currently registered as both a […]

Investors reportedly may have incurred losses due to securities broker Stephen Herman Wedel (also known as Steve Wedel) [CRD: 1221992, Naples, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Wedel has worked for Private Client Services LLC since June 4, 2018, and RFG Advisory LLC since August 11, 2014. Previously, he worked […]

Investors apparently complained about securities broker Edward Terral Hill (also known as Ed Hill) [CRD: 6008804, West End, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Edward Hill has worked for LPL Financial LLC in North Carolina since March 1, 2018. Previously, he worked for Edward Jones from January 27, 2012, […]

Investors might have sustained losses due to securities broker Phillip Chien-Cheng Kao [CRD: 4654233, San Rafael, California], according to disclosures on FINRA BrokerCheck. Evidently, Kao worked for Portsmouth Financial Services from August 2, 2021, to December 31, 2024, and Woodbury Financial Services Inc. from September 4, 2015, to August 4, 2021. He is currently registered […]

Investors reportedly may have incurred losses due to securities broker Vincent Anthony Pallitto Jr. (also known as Vince Pallitto Jr. and Vinny Pallitto Jr.) [CRD: 3236328, Florham Park, New Jersey], according to disclosures on FINRA BrokerCheck. Pallitto has worked for LPL Financial LLC since December 1, 2000. Prior to that, he began his registration as […]

Investors might have sustained losses because of securities broker Stephen Edson Bush (also known as Steve Bush) [CRD: 1898917, Weddington, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Bush has worked for Capital Investment Group Inc. since August 31, 2018, and Capital Investment Advisory Services LLC since September 1, 2018. Previously, […]

Investors potentially experienced losses due to securities broker Mark Gilbert Beesley [CRD: 5362689, Boston, Massachusetts], according to disclosures on FINRA BrokerCheck. Beesley was employed by Wood (Arthur W.) Company Inc. from August 24, 2021, to April 17, 2023, and previously worked for LPL Financial LLC from March 11, 2019, to November 4, 2020. Keep reading […]

Investors reportedly may have incurred losses due to securities broker Edward Carchia Jr. (also known as Ed Carchia Jr. and Edward Karchia Jr.) [CRD: 1328905, Paramus, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Edward Carchia worked for Morgan Stanley from June 1, 2009, to July 21, 2022. Here’s more about […]