Investors apparently complained about securities broker Charles Kenneth Wareham [CRD: 2193537, Hartford, Connecticut], according to publicly available information on FINRA BrokerCheck. Evidently, Charles Wareham has been registered with Independent Financial Group LLC since March 14, 2014. Readers are encouraged to continue below for details about the disclosures involving Wareham. Independent Financial Group LLC Investor Accused […]

Investors have reportedly disputed the sales practices of securities broker Samuel E. Barber [CRD: 4750380, Naugatuck, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Barber has worked with Lifemark Securities Corp. since May 12, 2017, and was previously registered with MML Investors Services LLC in Norwalk, Connecticut, from August 10, […]

Investors apparently complained about securities broker Jesus Quezada [CRD: 5117930, Alhambra, California], according to public information on FINRA BrokerCheck. Evidently, Quezada has been registered with Alexander Capital L.P. since January 3, 2023, and Alexander Capital Wealth Management LLC since January 4, 2023. Previously, he worked for Crown Capital Securities L.P. from February 27, 2017, to […]

Investors have reportedly disputed the sales practices of securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Tighe worked for Morgan Stanley from June 1, 2009, to January 14, 2025. Keep reading for details about Tighe’s disclosures. Morgan Stanley Disaffiliated With Tighe For Alleged […]

Investors might have sustained losses because of securities broker Anita Louise Lester (also known as Anita Lester Wolfe) [CRD: 4478199, Chicago, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anita Lester worked for Berthel Fisher Company Financial Services Inc. from July 26, 2013, to October 11, 2018. Read on to learn […]

Investors potentially incurred losses because of securities broker Dale Leary Self [CRD: 2782162, Indianapolis, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dale Self worked for J.P. Morgan Securities LLC from October 1, 2012, to January 8, 2023. Continue reading for details about Dale Self’s disclosures and the nature […]

Investors possibly experienced sales practice violations by securities broker John Howley Whalen [CRD: 1900188, Honolulu, Hawaii], according to public information on FINRA BrokerCheck. Evidently, Whalen has been registered with Commonwealth Financial Network in Honolulu, Hawaii, since May 29, 2015, and concurrently as an investment adviser representative with the same firm since June 2, 2015. Previously, […]

Investors might have sustained losses because of securities broker Jason Andrew Salmon [CRD: 6081963, Torrance, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Salmon has been registered with FNEX Capital LLC since January 23, 2022, and previously worked with Growth Capital Services Inc. from July 23, 2020, to January […]

Investors possibly experienced sales practice violations by securities broker Kyle W. Steibel [CRD: 6631554, Belleville, Illinois], according to disclosures on FINRA BrokerCheck. Evidently, Kyle Steibel worked for CUNA Brokerage Services Inc. from May 20, 2020, to February 16, 2022. Continue reading to find out more about the disclosures involving Steibel. Cuna Brokerage Services Inc. Investor […]