Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]

Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]

Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]

Investors may have suffered financial harm by securities broker Corey W. Wells [CRD: 7918279, Lincoln, Maine], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wells worked for MWA Financial Services Inc. from January 15, 2025, to April 14, 2026. Investors are encouraged to continue reading to learn more about Wells’s disclosures. MWA […]

Investors potentially experienced sales practice violations by securities broker Mark Aaron Atchity [CRD: 2530342, Laguna Niguel, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Atchity has worked for JCC Capital Markets LLC since August 16, 2012, Cabin Securities Inc. since September 16, 2013, and Cabin Advisors LLC since July 2, […]

Investors might have sustained losses due to securities broker John Maurice Lamont (also known as Jack Lamont) [CRD: 847214, Westport, Connecticut], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lamont has worked for David Lerner Associates Inc. since August 15, 1989, and Spirit of America Management Corp since March 28, 2018. See […]

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 apparently complained about securities broker Philip Duane Tom [CRD: 1110768, Seattle, Washington], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tom worked for RBC Capital Markets LLC from April 29, 2015, to July 10, 2025. Investors are encouraged to continue reading to find out more about Tom’s disclosures. Hohimer Wealth […]

Investors potentially experienced sales practice violations by securities broker James A. Lothspeich [CRD: 4187811, Pocatello, Idaho], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lothspeich worked for Edward Jones from August 21, 2000, to October 10, 2025. Continue reading to learn more about Lothspeich’s disclosures. Edward Jones Client Alleged Sales Practice Violations Regarding […]