Investors may have suffered financial harm by securities broker Tony Roberts [CRD: 2691066, Huntington, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tony Roberts has worked for MML Investors Services LLC as a securities broker since March 25, 2017, and as a financial advisor since May 11, 2021. […]

FINRA suspended securities broker Clayton Kwok Shum [CRD: 4412927, Burlingame, California], and one or more investors complained about him, given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shum worked for Grove Point Investments LLC from December 1, 2020, to January 12, 2023, and Grove Point Advisors LLC from April 1, 2021, to January […]

Investors might have sustained losses due to securities broker Bertram Courtney Johnson II [CRD: 6816674, Bloomfield Hills, Michigan], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Johnson worked for Merrill Lynch from September 18, 2024, to April 1, 2026, and previously worked for Hantz Financial Services Inc. from September 27, […]

Investors potentially experienced sales practice violations by securities broker David Nathan Cohen [CRD: 5083883, Yonkers, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Cohen worked for Cetera Investment Services LLC from June 20, 2019, to December 10, 2025. Keep reading to find out more about the disclosures involving Cohen. […]

FINRA sanctioned securities broker David George Joyce [CRD: 2665998, Naples, Florida], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Joyce worked for Carnes Capital Corporation from September 27, 2011, to May 24, 2024, where he served in supervisory and operational capacities, including as Chief Operating Officer until January 2024. […]

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 […]