Investors might have sustained losses because of securities broker Michael Paul Vauble [CRD: 1109895, Sac City, Iowa], according to disclosures on FINRA BrokerCheck. Michael Vauble worked for NYLIFE Securities LLC from June 8, 1983 to October 6, 2022. Read below to know more about the disclosures involving this broker. Vauble Accused Of Unsuitable Life Insurance […]

Investors potentially experienced sales practice violations because of securities broker Marc Gregory Minor [CRD: 2230271, East Peoria, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marc Minor worked for Woodbury Financial Services Inc. from April 23, 2003 to January 19, 2024. As of January 19, 2024, he works for Osaic Wealth Inc. […]

One or more investors apparently complained about securities broker Pragnesh J. Bhatt (also known as Mike Bhatt) [CRD: 5769860, Bethesda, Maryland], according to publicly available information through FINRA’s BrokerCheck. Evidently, Pragnesh Bhatt has been registered with NYLIFE Securities LLC since July 21, 2011. Below, you can learn more about the investor complaints and regulatory findings […]

One or more investors apparently complained about securities broker Ronald Stephen Thompson (also known as Ronald Thompson, Ronald Thompson II, Ronald Thompson Jr, and Ronnie S. Thompson) [CRD: 4243976, Okemos, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thompson worked for NYLIFE Securities LLC from 2011 to 2017. Keep reading to […]