Investors might have sustained losses because of securities broker Stephen Thomas Kerutis (also known as Steve Kerutis) [CRD: 2345517, Loudon, Tennessee], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kerutis has worked for Cetera Advisors LLC since November 21, 2023, and for Cetera Investment Advisers LLC since March 21, 2024. Previously, […]

Investors potentially incurred losses because of securities broker Steven Foreman Kahn [CRD: 1001362, Chicago, Illinois], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kahn has been registered with American Trust Investment Services Inc. since May 8, 2014. See the following information to discover more about this broker’s disclosures and related client […]

Investors apparently complained about securities broker Chad Anthony Noble [CRD: 4774817, The Villages, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Noble worked for Ameriprise Financial Services LLC from August 15, 2018, to July 24, 2025. Read below for details about the disclosures concerning Noble. FSC Securities Corporation Investor Accused Noble Of Unsuitable Recommendations Evidently, […]

Investors might have sustained losses because of securities broker Brian Cantel [CRD: 1743229, Flowery Branch, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cantel has been registered with Berthel Fisher Company Financial Services Inc. since January 3, 2006, and also worked as an investment adviser with the same firm beginning […]

Investors possibly experienced sales practice violations by securities broker Joseph Frederick Eschleman (also known as Joe Eschleman) [CRD: 3237843, Sacramento, California], according to publicly available information on FINRA BrokerCheck. Evidently, Eschleman has been registered with Purshe Kaplan Sterling Investments since August 10, 2017, and with Towerpoint Wealth LLC since May 30, 2017. Read below for […]

Investors potentially experienced sales practice violations due to securities broker Terry William Griffith [CRD: 4937497, Watertown, Massachusetts], according to disclosures on FINRA BrokerCheck. Evidently, Griffith worked for UBS Financial Services Inc. in Peabody, Massachusetts, from May 14, 2014, to May 15, 2024, and has been registered with Independent Financial Group LLC in Watertown, Massachusetts, since […]

Investors apparently complained about securities broker Brian Kenneth Court [CRD: 2591547, Melville, New York], according to publicly available information on FINRA BrokerCheck. Evidently, Court worked for Aegis Capital Corp. from May 2, 2014, to January 30, 2024. Read on for details about Court’s disclosures and regulatory actions. FINRA Sanctioned Court For Discretionary Trading Particularly, on […]

Investors have reportedly disputed the sales practices of securities broker Kevin Joseph Schaefer [CRD: 1286030, San Francisco, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kevin Schaefer has been registered with Wells Fargo Clearing Services LLC and Wells Fargo Advisors in San Francisco, California, since August 16, 2019. Previously, he worked […]

Investors potentially experienced sales practice violations due to securities broker Edward Muster [CRD: 1012341, Boca Raton, Florida], based on public information on FINRA BrokerCheck. Evidently, Edward Muster worked for Herbert J. Sims Co. Inc. from May 14, 1998, to July 7, 2020. Keep reading to find out more about Edward Muster’s disclosures. Herbert J. Sims […]