Investors apparently complained about securities broker Christine Michelle Amato [CRD: 1048739, San Diego, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, Christine Amato worked for TD Ameritrade Inc. from January 12, 2016 to December 31, 2022, and for Charles Schwab Co. Inc. from January 26, 2022 to July 19, 2025. Read […]

One or more investors possibly experienced losses because of securities broker Javier Martin-Riva [CRD: 6706706, Miami, Florida], according to disclosures on FINRA BrokerCheck. Particularly, Javier Martin-Riva joined Bulltick LLC on March 18, 2019, and Bulltick Wealth Management LLC on May 6, 2019. Read the following sections to learn more about the allegations involving this broker […]

Investors reportedly complained about securities broker Hector Francisco Villaescusa [CRD: 4185707, Miami, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Villaescusa joined Bulltick LLC in Miami, Florida on August 1, 2019, and Bulltick Wealth Management LLC in Hermosillo on October 20, 2022. Read on to find out more about the […]

Investors potentially experienced sales practice violations due to securities broker Kelley Susan Slaught (also known as Kelley Smith) [CRD: 1126586, Santa Barbara, California], according to disclosures on FINRA BrokerCheck. It appears that Slaught joined Centaurus Financial Inc. on November 21, 2012, as a securities broker and on January 9, 2013, as a financial advisor. Below, […]

Investors might have sustained losses due to securities broker Kenneth Thomas Shotsberger (also known as Ken Shotsberger) [CRD: 6186517, Deerfield, Illinois], according to publicly available information on FINRA BrokerCheck. Notably, Kenneth Shotsberger worked for Equitable Advisors LLC from September 8, 2017 to April 29, 2024. Keep reading to find out more about the securities broker’s […]

Investors might have sustained losses because of securities broker Jonna Doris Keller (also known as Jonna Edelmayer and Jonna Hansen) [CRD: 1983864, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. Keller joined Osaic Wealth Inc. on September 1, 2023, and previously worked at SagePoint Financial Inc. from December 7, 2015 to September 1, 2023. Keep […]

Investors apparently complained about securities broker Cary Edward Urich [CRD: 2132001, Greenville, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Urich joined Vanderbilt Securities LLC, Consolidated Portfolio Review Corp, and Vanderbilt Advisory Services, all located in Greenville, South Carolina, in 2024-2025. He previously worked with United Planners’ Financial Services of […]

One or more investors possibly experienced losses because of securities broker Donald Ray McFarland (also known as Don McFarland, Donnie McFarland, and Mac McFarland) [CRD: 1206382, Oklahoma City, Oklahoma], according to publicly available information on FINRA BrokerCheck. Notably, Donald McFarland worked for Centaurus Financial, Inc. from October 19, 2004 to December 16, 2021. Read the […]

Investors potentially experienced sales practice violations due to securities broker Justin Duane Mundt [CRD: 5652696, St. Charles, Minnesota], according to disclosures on FINRA BrokerCheck. Evidently, Mundt worked for FBL Marketing Services LLC from April 3, 2009 to December 4, 2020. He joined Mundt and Associates on April 2014, and currently serves as a financial advisor […]