Investors possibly experienced losses because of securities broker Steven LaMar Nielsen [CRD: 4184826, Gilbert, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Steven Nielsen joined Centaurus Financial Inc. as a broker and financial advisor at their Gilbert, Arizona location on August 7, 2017. Here’s an overview of Steven Nielsen’s disclosures. Centaurus […]

Investors possibly experienced losses because of securities broker Herbert C. White [CRD: 3125223, Greenwood Village, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Herbert White worked for Woodbury Financial Services Inc. as a securities broker from April 4, 2003, to January 19, 2024. Woodbury Financial Services Inc. Investor Accused White Of […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Thomas Joseph Livaccari [CRD: 2376606, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Livaccari joined UBS Financial Services Inc. on January 22, 2009. Here’s more about the securities broker’s disclosures. […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Luke Foster Lannister (also known as Lucas Foster Seward) [CRD: 6317373, Rockville, Maryland], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Luke Lannister worked for Grove Point Investments LLC from February 16, 2021, to November 28, […]

Investors may have experienced financial losses because of Kathryn Jo Hackney, also known as Kathryn Hackney and Kathryn Ohlin [CRD: 1548894, Orange, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kathryn Hackney joined LPL Financial LLC in Orange, California on May 18, 2022, and previously worked for CUNA Brokerage Services Inc. […]

Investors might have sustained losses due to securities broker John Hayward Lord (also known as John Lord) [CRD: 1352023, Calhoun, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Lord joined Dempsey Lord Smith LLC on March 16, 2007. Keep reading to learn more about John Lord's disclosures. Dempsey Lord Smith […]

Investors possibly experienced losses because of securities broker Jerry Lawrence Goldblum [CRD: 2362993, Melville, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jerry Goldblum joined Equitable Advisors LLC on October 14, 2022. He previously worked for Aegis Capital Corp. from November 6, 2015, to October 19, 2022. Here’s more about […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Jason Lawrence Mieras [CRD: 2850648, Lake Como, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jason Mieras joined American Portfolios Financial Services Inc. on September 7, 2001, and American Portfolios Advisors Inc. on […]

Investors might have sustained losses because of securities broker James Alan Seijas [CRD: 2392901, Short Hills, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, James Seijas worked for Wells Fargo Clearing Services LLC from November 13, 2013, to March 6, 2019. Keep reading to learn more about the securities broker’s […]