One or more investors possibly experienced losses because of securities broker Terry Sloan Thompson (also known as T. Sloan Thompson) [CRD: 2588490, Savannah, Georgia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Terry Thompson worked for Truist Investment Services Inc. from February 17, 2021 to March 21, 2024, and for BB&T Securities LLC […]

Investors reportedly complained about securities broker Tony Alan Tolene [CRD: 5730068, Harrisburg, Pennsylvania], according to publicly available information reported on FINRA BrokerCheck. Tony Tolene worked for Infinity Financial Services from October 19, 2016 to June 27, 2025. Keep reading to know more about Tony Tolene’s disclosures and the nature of the client allegations brought against […]

Investors might have sustained losses due to securities broker Mark Angelo Gassoso [CRD: 2590007, Jersey City, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Gassoso worked for National Securities Corporation from November 21, 2000, to July 22, 2022, B. Riley Wealth Management from July 22, 2022, to November 26, 2024, […]

Investors might have sustained losses due to securities broker Jordan P. Rider [CRD: 5292169, Leawood, Kansas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jordan Rider worked for LPL Financial LLC since December 14, 2010, and more recently for The Wealth Consulting Group since July 14, 2023. He also worked […]

Investors might have sustained losses due to securities broker Phillip Chien-Cheng Kao [CRD: 4654233, San Rafael, California], according to disclosures on FINRA BrokerCheck. Evidently, Kao worked for Portsmouth Financial Services from August 2, 2021, to December 31, 2024, and Woodbury Financial Services Inc. from September 4, 2015, to August 4, 2021. He is currently registered […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Vernon Hart (also known as Vern Hart) [CRD#: 1122114, Carmel, Indiana]. Hart works with Raymond James Associates Inc. as of June 16, 2011. Recent disclosures raise concerns about Hart’s conduct, including allegations of excessive fees and mismanagement of a client’s account. Pending Client […]

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 […]

Investors might have sustained losses due to financial advisor / securities broker Michael Jay Shatsky (also known as Mike Shatsky) [CRD: 2430683, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Shatsky joined Sky Alpha Asset Advisors LLC as a financial advisor in 2018. He worked at Oppenheimer Co. […]

Investors might have sustained losses due to securities broker Jack Matthew Cayce (also known as J.M. Cayce and Matt Cayce) [CRD: 4189311, Atlanta, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jack Cayce worked for Purshe Kaplan Sterling Investments since January 23, 2023, and Apollon Wealth Management LLC since May 12, […]