Investors potentially incurred losses because of securities broker Cedric Percell Powell [CRD: 3249130, Tampa, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Powell worked for Ameriprise Financial Services LLC from June 24, 2021, to June 10, 2025. Investors should review the information below to discover more about Powell’s disclosures. Ameriprise […]

Investors potentially experienced sales practice violations by securities broker Robert Wayne Thompson (also known as Bob Thompson) [CRD: 713539, Houston, Texas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Thompson worked for The O.N. Equity Sales Company from January 9, 2015, to October 28, 2025. Investors are encouraged to continue […]

Investors potentially incurred losses because of securities broker Robert Lewis Moon [CRD: 2431875, Bethesda, Maryland], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Moon worked for Merrill Lynch from August 29, 2008, to November 6, 2023, and later registered with Rockefeller Financial LLC and Rockefeller Capital Management beginning November 3, 2023. […]

Investors potentially incurred losses because of securities broker Nouachi Vang [CRD: 5090132, Maple Grove, Minnesota], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nouachi Vang has worked for LPL Financial LLC since August 8, 2024, and previously worked for Kestra Advisory Services LLC and Kestra Investment Services LLC from March 8, 2022, to […]

Investors might have sustained losses due to securities broker David Nathan Cohen [CRD: 5083883, Yonkers, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Cohen worked for Cetera Investment Services LLC from June 20, 2019, to December 10, 2025. Investors should continue reviewing this information to learn more about the disclosures […]

Investors apparently complained about securities broker Ejiro Ode Okuma (also known as EJ Okuma) [CRD: 5774832, Atlanta, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Okuma worked for Edward Jones from May 7, 2010, to May 8, 2023, and later for Equitable Advisors LLC from May 5, 2023, to June 20, 2025. […]

Investors apparently complained about securities broker Vincent Thomas Ferrara Jr. [CRD: 1791902, Garden City, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Ferrara worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 6, 2008, to February 22, 2024, and has been registered with Ameriprise Financial Services LLC […]

Investors have reportedly disputed the sales practices of securities broker Selwyn Miller (also known as Selwyn Milller) [CRD: 1695348, Woodland Hills, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Miller worked for Lincoln Investment from June 1, 2012, to February 22, 2024. Continue reading for details about Miller’s […]

Investors have reportedly disputed the sales practices of securities broker Gregory Norman Grajek (also known as Greg Grajek) [CRD: 1220268, San Diego, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Grajek worked for UBS Financial Services Inc. from December 17, 2008, to December 31, 2024. Read below to […]