Investors apparently complained about securities broker Allan Eugene Rosen [CRD: 1146570, Wailuku, Hawaii], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Rosen worked for Cetera Wealth Services LLC beginning December 5, 2007, and later for Cetera Investment Advisers LLC beginning June 29, 2023, after previously working for Cetera Advisor […]

Investors potentially incurred losses because of securities broker Ryan Reynolds Leblanc [CRD: 2631068, Luling, Louisiana], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Leblanc has been registered with LPL Financial LLC as a broker since August 26, 2005, and as an investment adviser since November 9, 2005. Read on for […]

Investors have reportedly disputed the sales practices of securities broker Donna Louise Payne (also known as Donna Louise Klink) [CRD: 1007323, Summerland, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Payne has been registered with Centaurus Financial Inc. as both a broker and investment adviser since December […]

Investors potentially experienced sales practice violations by securities broker Eric Jose Garcia [CRD: 5909532, Miami, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Garcia worked for Osaic Institutions Inc. beginning on July 1, 2016, as a broker and March 13, 2017, as an investment adviser. Read on to […]

Investors potentially experienced sales practice violations by securities broker Daniel Simon Pikula (also known as Dan Pikula) [CRD: 2563165, Wellington, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Pikula has been registered with Emerson Equity LLC since April 18, 2018, and with Money Manager Inc. since June […]

Investors might have sustained losses because of securities broker Cheryl Diane Richardson (also known as Cheryl Diane Johnson) [CRD: 1807190, Freeport, Illinois], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Richardson worked for MML Investors Services LLC beginning on March 25, 2017, and previously worked for MSI Financial Services […]

Investors potentially incurred losses because of securities broker George Reynolds Howard III [CRD: 2958866, Germantown, Tennessee], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Howard worked for Centaurus Financial Inc. beginning May 15, 2018, as a broker and May 17, 2018, as an investment adviser; before that, he was […]

Investors might have sustained losses because of securities broker John Edmond Tryon [CRD: 1593231, Troy, Michigan], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Tryon has been registered with Centaurus Financial Inc. as a broker since April 1, 2005, and as an investment adviser since April 23, 2013. […]

Investors potentially experienced sales practice violations by securities broker Deborah Sue Anderson (also known as Deborah Sue Beemer) [CRD: 1795405, Redlands, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Anderson worked for Centaurus Financial Inc. from April 17, 2006, to June 5, 2020, and later for LPL Financial […]