Investors have reportedly disputed the sales practices of securities broker Robert Kent Hiss [CRD: 1599380, Wichita, Kansas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hiss has been registered with IFP Securities LLC since May 23, 2019, and has also worked as an investment adviser with Independent Financial Partners since November […]

Investors potentially incurred losses because of securities broker Scott Stanley Brooks [CRD: 3235252, San Clemente, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Brooks has been registered with Newbridge Securities Corporation since August 16, 2007, and with NFSG Corporation since September 6, 2007. Investors should continue reading to discover […]

Investors potentially experienced sales practice violations by securities broker Alex Ng (also known as Alex King) [CRD: 5842211, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ng worked for National Securities Corporation from December 20, 2010, to June 1, 2022, and has been registered with PHX Financial Inc. […]

Investors might have sustained losses due to securities broker Eugene Boyd Thomas (also known as Gene Thomas) [CRD: 2065557, Lexington, Oklahoma], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas has worked for MML Investors Services LLC as a broker and investment adviser since March 25, 2017. Investors should continue reviewing this […]

Investors potentially experienced sales practice violations by securities broker Jeffrey Seth Morrison [CRD: 3200399, Livingston, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffrey Morrison has worked with LifeMark Securities Corp. since February 18, 2005, as a broker, and since September 11, 2009, as an investment adviser. Investors should […]

Investors potentially incurred losses because of securities broker James Patrick Doherty III [CRD: 859882, Trail Creek, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Doherty has worked for Morgan Stanley beginning June 1, 2009, and remains registered with the firm. Continue reading to discover more about the disclosures involving this […]

Investors potentially experienced sales practice violations by securities broker Lei Wang [CRD: 2626500, West Palm Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lei Wang worked for Osaic Wealth Inc. beginning January 24, 2025, and previously was registered with Osaic FA Inc. from May 30, 2001, to January 24, 2025. Investors […]

Investors apparently complained about securities broker Scott Edward Oliphant [CRD: 4551455, Columbus, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Oliphant worked for CFD Investments Inc. from November 14, 2005, to December 19, 2019, Creative Financial Designs Inc. from October 22, 2019, to December 19, 2019, Cetera Advisors LLC from […]

Investors might have sustained losses due to securities broker John Eric Suess [CRD: 1950146, Santa Rosa Beach, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Suess has worked for Stifel Nicolaus since January 23, 2014, where he is registered as both a broker and investment adviser. Readers should continue reviewing this […]