Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Bryce Austin Hamilton (also known as Bryce Hamilton) [CRD: 4296113, Cornelius, North Carolina]. Bryce Hamilton worked for several prominent firms, including LPL Financial LLC from July 2024 to October 2024, and CliftonLarsonAllen Wealth Advisors, LLC from November 2023 to May 2024. His 22-year securities […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Evan Jay Adelglass (also known as Evan Jan Adelglass) [CRD#: 2392225, Ansonia, Connecticut]. Evan Adelglass has worked for LPL Financial LLC since August 31, 2005. Recent disclosures reveal concerns about Adelglass’s conduct, including allegations of unsuitable investment recommendations and client disputes. October 7, 2024 […]

Securities Broker Allyson Jo Trantum Discloses Investor Dispute And Employment Termination Soreide Law Group is examining an investor dispute concerning securities broker Allyson William Trantum aka Allyson Jo Wilson (CRD#: 2896970, Temecula, California), as disclosed on FINRA BrokerCheck. Particularly, Trantum, who works for securities firm JW Cole Financial Inc. and investment advisory JW Cole Advisors […]

Broker Bradley Goodbred Barred By FINRA, Involved In LPL Client Dispute Securities broker Bradley Allen Goodbred (CRD#: 3184210, Roselle, Illinois) discloses an investor dispute and a regulatory sanction on BrokerCheck. It appears that disclosures involving Goodbred concern his securities broker role at securities firm LPL Financial LLC (his employer from 2009 to 2021). Read further […]

Securities Broker Charla Kabana Is Barred By FINRA And Involved In Sagepoint Financial Client's Dispute About Suitability Soreide Law Group is reviewing investor complaints concerning securities broker Charla Cynthia Kabana (CRD#: 1453982, Huntington Beach, California), as disclosed on FINRA BrokerCheck. Particularly, Kabana, who worked for securities firms Sagepoint Financial (her employer from 2016 to 2018) […]

Broker Luisa Gonzalez Accused Of Sales Practice Violations According To SunTrust Investor's Dispute The Financial Industry Regulatory Authority (“FINRA”) contains new disclosures concerning securities broker Mercado “Luisa” Gonzalez (CRD#: 2765208, Kissimmee, Florida). Evidently, Gonzalez worked for securities firms Leaders Group Inc. (2020 – present), PNC Investments (2017 to 2019), SunTrust Investment Services (2012 to 2017), […]

LPL Financial Clients Allege Sales Practice Violations By Chris Black The Financial Industry Regulatory Authority (FINRA) provides new information concerning securities broker Christopher Bryan Black (CRD#: 5049080, Statesboro, Georgia). Specifically, the securities broker, who worked for Wells Fargo Clearing Services from 2013 to 2017, and LPL Financial from 2017 to 2020, is involved in investor […]

Securities Broker Jason Poff Sanctioned By FINRA, Accused Of Sales Practice Violations By LPL And Chase Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck, which houses important information about securities brokers, contains new disclosures regarding securities broker Jason Howell Poff (CRD#: 4078570, Houston, Texas). Specifically, FINRA issued Poff a fine and suspension for alleging engaging in […]

Broker Elias Hakimian (LPL Financial) Fined For Borrowing, Accused Of Churning By Investor The Financial Industry Regulatory Authority (FINRA) reportedly issued a three-month suspension to Elias Moses Hakimian (CRD#: 4404048, Seal Beach, California) as a securities broker and fined him $5,000 for allegedly borrowing from a client of LPL Financial. In addition, an investor filed […]