Investors have reportedly disputed the sales practices of securities broker Douglas Mack Farris Jr [CRD: 2973692, Dayton, Ohio], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Farris has been registered with NYLIFE Securities LLC since February 11, 2004. Keep reading to learn more about disclosures involving this securities […]

Investors potentially experienced sales practice violations by securities broker James Joseph Montalto [CRD: 711603, Northport, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Montalto has been registered with RBC Capital Markets LLC since November 23, 2005. Read below to discover more about Montalto’s publicly reported disclosures. RBC Capital […]

Investors apparently complained about securities broker Kevin Clinton Loyd Jr [CRD: 4447419, Town and Country, Missouri], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Loyd worked for First Allied Securities Inc. from December 16, 2013, to September 8, 2022; Cetera Advisors LLC from September 8, 2022, to June […]

Investors potentially incurred losses because of securities broker Hector Alberto Mena [CRD: 5400535, Hypoluxo, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Mena worked for Cetera Wealth Services LLC beginning November 22, 2021, and for Cetera Investment Advisers LLC beginning July 10, 2023; previously, he was registered […]

Investors have reportedly disputed the sales practices of securities broker Selwyn Miller (also known as Selwyn Milller) [CRD: 1695348, Woodland Hills, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Miller worked for Lincoln Investment from June 1, 2012, to February 22, 2024. Continue reading for details about Miller’s […]

Investors have reportedly disputed the sales practices of securities broker Gina G. Francisco (also known as Gina Agness and Gina Winters) [CRD: 4490144, Ocala, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Francisco has been registered with LPL Financial LLC from August 21, 2018, to the present […]

Investors might have sustained losses because of securities broker Bryce J. Jones [CRD: 6361728, Washington, Utah], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jones worked for Independent Financial Group LLC beginning on October 13, 2022, and previously worked for Merrill Lynch Pierce Fenner Smith Incorporated from August 19, […]

Investors potentially experienced sales practice violations by securities broker Shannon Marie Powers (also known as Shannon Marie Catuogno and Shannon Powers-Solomon) [CRD: 2367198, Ridgefield, Washington], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Powers has worked with multiple firms, including Innovation Partners LLC and IP Financial Advisory Services LLC since […]

Investors potentially experienced sales practice violations by securities broker James Claude Britt (also known as J.C. Britt) [CRD: 4523267, Vero Beach, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Britt has been registered with Morgan Stanley as a broker since September 8, 2010, and as an investment adviser […]