Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michael Ryan Coyne (also known as Mike Coyne) [CRD: 4674176, Wheaton, Illinois]. Michael Coyne has been employed with First Trust Portfolios L.P. since September 22, 2015, and First Trust Advisors LP since November 5, 2015. Recent disclosures report 14 client disputes, many alleging improper […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Brian Swan [CRD#: 1698430, Westlake Village, California]. Swan has been registered with Western International Securities, Inc. since May 27, 2008, and has over 36 years of experience in the securities industry. Recent disclosures reveal concerns about Swan’s conduct, including allegations of unsuitable recommendations, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Timothy Neil Tremblay [CRD: 1201542, Santa Barbara, California]. Tremblay has worked for Centaurus Financial Inc. since May 16, 2003, where he worked as both a securities broker and financial advisor. A recent arbitration claim filed about Tremblay involves allegations of unsuitable recommendations of real […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Tilak J. Shah [CRD: 6416854, Boston, Massachusetts]. Evidently, Shah worked for NYLife Securities LLC in 2022 and Cetera Investment Services from 2022-2023 . Keep reading to learn more about the regulatory actions and client dispute surrounding Shah, including the recent allegations that led to […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures involving securities broker Brent Christopher Fuchs [CRD: 4269916, Preston, Maryland]. Fuchs has worked for Lincoln Financial Advisors Corporation (now Osaic FA Inc.) as a securities broker since November 14, 2000, and as a financial advisor since January 22, 2001. His employment history includes client disputes, with one […]

Investors possibly experienced losses because of securities broker Donna Maria Seymour (also known as Donna Maria Pastorik) [CRD: 1714302, Winter Haven, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donna Seymour has worked for Centaurus Financial Inc. since July 27, 2016, and for Ingram Advisory Services LLC since September 15, 2009, […]

Investors might have sustained losses due to securities broker Zachary Ellis Taylor (also known as Zach Taylor) [CRD: 6074776, Newport Beach, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Zachary Taylor worked for Saxony Securities Inc. from June 26, 2023, to October 24, 2023, Oppenheimer Co. Inc. from August 21, 2020, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker William Vito Romeo (also known as Doughboy Romeo) [CRD: 1041846, East Meadow, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Romeo joined RNR Securities LLC on October 13, 1997, and R&R Financial Planners […]

Investors possibly experienced losses because of securities broker Tyler Simpson Camp [CRD: 6002124, Hoover, Alabama], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Tyler Camp joined OneAmerica Securities Inc. on December 14, 2023. Also, he worked for MML Investors Services LLC from February 13, 2019, to December 20, 2023. The following information […]