Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker John Abraham Perez-Cubero [CRD: 6674954, Short Hills, New Jersey]. Perez-Cubero worked for Morgan Stanley from April 4, 2018, to October 6, 2023. His refusal to comply with a FINRA investigation has led to his expulsion from the securities industry. Read on to learn more […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals that securities broker Jeffrey Thomas Higgins [CRD: 2871443, Baker City, Oregon] has been barred as a securities broker. Higgins worked for Western International Securities Inc. from August 21, 2017, to June 27, 2024. Notably, Higgins’ failure to cooperate with a FINRA investigation into potential misappropriation of client funds […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Dan Edward Droeg (also known as Dan Edwards Droeg) [CRD: 1509210, Mesa, Arizona]. Droeg worked for United Planners Financial Services of America from August 12, 2021, to October 11, 2021, and previously worked for firms such as H. Beck and Sagepoint Financial. Keep reading […]

Investors complained about securities broker Spencer M. Miller [CRD: 6273107, Westlake Village, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Spencer Miller has worked for Merrill Lynch Pierce Fenner Smith Incorporated since January 14, 2014. Here’s more about Spencer Miller’s disclosures. Merrill Lynch Pierce Fenner Smith Incorporated Investor Accused Miller Of […]

SEC brought a complaint against John Nicholas Matson [CRD: 1796541, Manhattan Beach, California], and LPL Financial LLC investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matson worked for LPL Financial LLC from November 2, 2017, to December 7, 2022, and for Ameriprise Financial Services Inc. from June 22, […]

DREAMFUNDED MARKETPLACE LLC Losses? The Financial industry Regulatory Authority (“FINRA”) declared on June 5, 2019 that it expelled funding portal member DreamFunded Marketplace, LLC (“DreamFunded”) (CRD#: 283594). FINRA also barred its CEO and co-founder, Manuel Fernandez (CRD#: 6639970). Evidently, in an Extended Hearing Panel Decision #:2017053428201, FINRA’s Office of Hearing Officers found that DreamFunded and […]