Investors potentially incurred losses because of securities broker Elijah Grant Goble [CRD: 6760147, Costa Mesa, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goble worked for Merrill Lynch from April 13, 2017, to March 5, 2018, and has been registered with Citigroup Global Markets Inc. since March 26, 2018. Investors should […]

Investors might have sustained losses due to securities broker Roger William Bowlin [CRD: 1905652, Kirkland, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bowlin worked for Aurora Securities beginning April 30, 2021, and also served as an investment adviser with Secure Asset Management LLC starting June 4, 2021; previously, he was registered […]

Investors have reportedly disputed the sales practices of securities broker Daniel Lawrence Polansky [CRD: 4580954, Clifton Park, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Polansky worked for American Portfolios Advisors Inc. and American Portfolios Financial Services Inc. from March 2018 to October 2024, and he has been […]

Investors apparently complained about securities broker Bryan Gerald Musso [CRD: 2304057, Metairie, Louisiana], according to disclosures on FINRA BrokerCheck. Evidently, Musso worked for Advisor Resource Council (formerly 360 Wealth Management LLC) as an investment adviser representative from April 2019 to June 2023, and for Wells Fargo Clearing Services LLC in New Orleans, Louisiana, from February […]

Investors have reportedly disputed the sales practices of securities broker John Howard Saunders [CRD: 870131, Vero Beach, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Saunders has been registered with UBS Financial Services Inc. since May 11, 2007, operating from both Vero Beach, Florida, and Roanoke, Virginia. Read on to discover […]

Investors potentially experienced sales practice violations due to securities broker Suzette Lawrence (also known as Suzy Lawrence) [CRD: 2651541, Pasadena, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lawrence has worked for Independent Financial Group LLC since March 15, 2024, and previously was with D.A. Davidson Co. from November 25, 2013, […]

Investors apparently complained about securities broker Anthony Walia (also known as Tony Walia) [CRD: 2951490, Astoria, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Walia worked for multiple firms during his career, including TIAA-CREF Individual Institutional Services LLC from March 25, 2015, to November 13, 2020; LPL […]

FINRA barred securities broker Jennifer Lynn Nelson (also known as Jennifer Lynn Villers) [CRD: 7096757, Claremont, New Hampshire], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Nelson worked for Edward Jones from June 8, 2019 to June 13, 2024. Read the following sections to learn more about the disclosures concerning Jennifer […]

Investors might have sustained losses due to securities broker Harold Francis Puhl (also known as Chip Puhl) [CRD: 1045552, Dallas, Texas], according to disclosures on FINRA BrokerCheck. Notably, Puhl joined Cetera Wealth Services LLC on October 17, 2002, and Cetera Investment Advisers LLC on June 29, 2023. He was previously registered with Cetera Advisor Networks […]