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 […]

Investors potentially experienced sales practice violations because of securities broker Amy Nuttall Zwaan (also known as Amy Elizabeth Nuttall) [CRD: 4857906, Clovis, California], according to publicly available information on FINRA BrokerCheck. It appears that Nuttall Zwaan worked for LPL Financial LLC from November 14, 2022 to May 29, 2024. He works with Alexander Capital, L.P. […]

Investors might have sustained losses because of securities broker Huanwei Huang (also known as Andy Huang) [CRD: 3268328, Brooklyn, New York], according to disclosures on FINRA BrokerCheck. Notably, Huang joined Glendale Securities Inc. on November 2, 2005. Keep reading to find out more about the disclosures concerning Huanwei Huang. Glendale Securities Investor Accused Andy Huang […]

Investors potentially experienced sales practice violations due to securities broker Donald Wells (also known as Don Wells) [CRD: 1217316, Seattle, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Wells worked for Titan Securities from March 4, 2010 to June 30, 2023, and is currently registered with Realta Equities Inc. in Wilmington, Delaware, and Realta Investment […]

Investors might have sustained losses due to securities broker Mark C. Creason [CRD: 6617847, Atlanta, Georgia], according to publicly available information on FINRA BrokerCheck. Creason joined Metric Financial LLC on October 16, 2023. Before that, he worked for Emerson Equity LLC from March 22, 2019 to October 12, 2023, and by Colorado Financial Service Corporation […]

Investors might have sustained losses due to securities broker Frank John Ward [CRD: 1621434, Omaha, Nebraska], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ward joined Raymond James Financial Services Inc. on June 17, 2015, and Raymond James Financial Services Advisors Inc. on June 19, 2015. Read the following sections to learn […]