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 […]

Investors potentially incurred losses because of securities broker Thomas Marion McDonald [CRD: 326904, Cleveland, Ohio], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McDonald worked for McDonald Partners LLC from December 7, 2005, to March 17, 2025. See the following summary for details about McDonald’s disclosures and the disputes involving […]

Investors apparently complained about securities broker Sonia Maria Attkiss (also known as Sonia Tron) [CRD: 2936806, Westport, Connecticut], based on disclosures on FINRA BrokerCheck. Evidently, Sonia Attkiss has been registered with UBS Financial Services Inc. since November 20, 2015, and works out of the firm’s offices in New York, New York, and Westport, Connecticut. Read […]

Investors have reportedly disputed the sales practices of securities broker Ashley Charles Woodard [CRD: 4703144, Greenville, South Carolina], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Woodard worked for NYLIFE Securities LLC from December 21, 2017, to October 28, 2020; IFS Securities from February 15, 2017, to November 13, 2017; and […]

Investors possibly experienced sales practice violations by securities broker Paul Michael Weinberger [CRD: 2757427, Clearwater, Florida], based on publicly available information on FINRA BrokerCheck. Evidently, Weinberger has worked for Cetera Financial Specialists LLC since February 5, 2021, and for Cetera Investment Advisers LLC since February 26, 2021. Previously, he was registered with National Asset Management […]