Investors potentially experienced sales practice violations by securities broker Preston Alan Walchli [CRD: 7265249, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Walchli worked for Realta Equities Inc. from February 8, 2023, to the present, Realta Investment Advisors Inc. from February 10, 2023, to February 18, 2025, Wealth Strategies Advisory Group […]

Investors have reportedly disputed the sales practices of securities broker Alon J. Rosin [CRD: 2758070, New York, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rosin has worked for Oppenheimer Co. Inc. since May 13, 2013. Read on to find out more about disclosures involving this securities broker. […]

Investors have reportedly disputed the sales practices of securities broker Gregory Mark Switzer [CRD: 2968795, Charlottesville, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Switzer worked for TIAA-CREF Individual Institutional Services LLC since November 24, 1997, and Advice and Planning Services since July 28, 2005. See the following information to discover more […]

Investors potentially experienced sales practice violations by securities broker Derek Amron Grimm [CRD: 3000890, Winter Park, Florida], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grimm worked for Merrill Lynch from February 18, 2010, to August 31, 2022, before joining RBC Capital Markets LLC on August 30, 2022. Readers should […]

Investors have reportedly disputed the sales practices of securities broker Michael Laine [CRD: 1244072, El Segundo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Laine worked for LPL Financial LLC from September 8, 2009, to May 5, 2026, before registering with Purshe Kaplan Sterling Investments and PKS Advisory Services LLC on […]

Investors apparently complained about securities broker Jacob Neal Martin [CRD: 6226288, Columbus, Indiana], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for MML Investors Services LLC beginning January 9, 2014, as a securities broker and since July 8, 2016, as a financial advisor. Investors are encouraged to continue reading to […]

Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]

Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]

Investors have reportedly disputed the sales practices of securities broker Stephen Edward White (also known as Steve White) [CRD: 3052632, Los Angeles, California], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. White worked for UBS Financial Services Inc. from September 19, 2008, to November 2, 2021, before joining Rockefeller Financial LLC on […]