Investors apparently complained about securities broker Mark Elliot Zorn [CRD: 2056837, Addison, Texas], based on disclosures on FINRA BrokerCheck. Evidently, Zorn worked for Kestra Investment Services LLC from January 9, 2007, to June 22, 2022, and later for Cetera Advisor Networks LLC from June 21, 2022, to August 8, 2024. Read on to find out […]

Investors potentially experienced sales practice violations because of securities broker Joe Carroll Doggett [CRD: 1033987, Columbus, Indiana], based on publicly available information on FINRA BrokerCheck. Evidently, Joe Doggett has been registered with Money Concepts Capital Corp since July 21, 2022, and Money Concepts Advisory Service since August 4, 2022. Previously, he worked with Grove Point […]

Investors potentially incurred losses due to securities broker Rodger Drik Thomas (also known as Rod Thomas and Thomas Rod) [CRD: 4010563, Boca Raton, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas has been registered with Newbridge Securities Corporation since October 24, 2018, and with NFSG Corporation since October 30, […]

Investors have reportedly disputed the sales practices of securities broker Shalom Azar [CRD: 7125424, Hackensack, New Jersey], based on public information on FINRA BrokerCheck. Evidently, Shalom Azar has been registered with Wells Fargo Advisors Financial Network LLC since July 22, 2025, and previously worked for Morgan Stanley in Paramus, New Jersey, from July 22, 2021, […]

Investors potentially experienced sales practice violations by securities broker Alexander Fischman (also known as Sandy Fischman) [CRD: 5902109, Hackensack, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Alexander Fischman worked for Morgan Stanley from July 22, 2021, to August 20, 2025, and is currently registered with Wells Fargo […]

Investors apparently complained about securities broker Solomon Tobal [CRD: 7643877, Hackensack, New Jersey], based on disclosures on FINRA BrokerCheck. Evidently, Tobal worked for Morgan Stanley from November 27, 2023, to August 20, 2025, and previously with VCP Financial LLC from February 13, 2023, to September 19, 2023. As of July 22, 2025, he has been […]

Investors apparently complained about securities broker George Edward Hovany [CRD: 1188851, Vernon Hills, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hovany worked for Wintrust Investments LLC from November 21, 2008, to July 6, 2020. Read below to find out more about the disclosures related to Hovany. Wintrust Investments Investor Accused […]

Investors might have sustained losses due to securities broker Alan Duane Douglass (also known as Roof Douglass) [CRD: 1619835, Clearwater, Florida], based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Douglass worked for Investacorp Inc. from March 7, 1995, to July 17, 2020; for Securities America Inc. from July 17, 2020, to […]

Investors potentially experienced sales practice violations due to securities broker Mark John Williams [CRD: 4061842, Carmel, California], based on disclosures on FINRA BrokerCheck. Williams worked for Kingswood Capital Partners LLC from November 9, 2021, to October 30, 2024, Forta Financial Group Inc. from March 12, 2021, to December 9, 2021, and Centaurus Financial Inc. from […]