Investors reportedly complained about securities broker Lawrence Joshua Nagel [CRD: 3040736, Louisville, Kentucky], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nagel has worked for Merrill Lynch since October 23, 2009. Read below to discover more about the disclosures involving Nagel and what they may mean for investors. Merrill Lynch […]

One or more investors possibly experienced losses because of securities broker Richard Wayne Gibson (also known as Rich Gibson) [CRD: 5352063, Long Beach, California], according to disclosures on FINRA BrokerCheck. Gibson has worked for Purshe Kaplan Sterling Investments since January 2, 2014, and for Global View Capital Management LLC since January 2, 2014. Read below […]

Investors apparently complained about securities broker Travis Price Alexander [CRD: 5504338, Long Beach, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Alexander worked for Raymond James Financial Services Inc. from February 12, 2016, to August 2, 2024. Read below to find out more about the disclosures involving Alexander. […]

Investors apparently complained about securities broker Anthony Walia (also known as Tony Walia) [CRD: 2951490, Astoria, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Walia worked for multiple firms during his career, including TIAA-CREF Individual Institutional Services LLC from March 25, 2015, to November 13, 2020; LPL […]

One or more investors possibly experienced losses because of securities broker Helen Susan Rothlein (also known as Helen DiPippo) [CRD: 709040, Boca Raton, Florida], according to public information found on FINRA BrokerCheck. Evidently, Rothlein has worked for Morgan Stanley since June 1, 2009, operating out of its Boca Raton, Florida and New York, New York […]

Investors apparently complained about securities broker Eric Kazuyoshi Takao [CRD: 804445, Honolulu, Hawaii], based on disclosures found on FINRA BrokerCheck. Evidently, Takao has worked for NYLIFE Securities LLC since September 27, 1982. Keep reading to find out more about the disclosures involving Takao and how they may have affected investors. NYLIFE Securities LLC Investor Accused […]

Investors might have sustained losses due to securities broker Matthew Joseph McDonald [CRD: 2837629, Walled Lake, Michigan], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McDonald joined Sigma Financial Corporation on November 11, 1999, and SPC on November 5, 2002. Keep reading to learn more about the disclosures concerning McDonald. Sigma […]

One or more investors possibly experienced losses because of securities broker Christopher Adam Knutson [CRD: 2997006, Melville, New York], according to disclosures on FINRA BrokerCheck. Evidently, Knutson joined Aegis Capital Corp. on August 27, 2014, where he continues to work at the firm’s office in Melville, New York. Keep reading to learn more about Knutson’s […]

FINRA Department of Enforcement brought a Complaint against securities broker Ali F. Chehab [CRD: 7625979, Portland, Oregon], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chehab worked for Merrill Lynch from July 24, 2023, to August 9, 2024. Keep reading to find out more about Chehab’s regulatory disclosures and investor […]