Investors reportedly complained about securities broker Nikolai Taylor (also known as Nik Taylor) [CRD: 2510427, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nikolai Taylor worked for Merrill Lynch from January 29, 2015 to October 3, 2022, and joined Morgan Stanley on September 30, 2022. Keep reading to learn […]

Investors potentially experienced sales practice violations due to securities broker George John Cairnes (also known as George Cairnes) [CRD: 4068906, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. George Cairnes worked for Wells Fargo Clearing Services LLC from January 3, 2011 to July 24, 2023, and later at Chelsea Financial Services […]

Investors reportedly complained about securities broker Stephen Berrocal (also known as Steve Berrocal) [CRD: 3071400, Coral Gables, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Berrocal joined Truist Investment Services Inc. on August 2, 2013, and Truist Advisory Services Inc. on August 24, 2016. See the following information to find out more […]

Investors might have sustained losses due to securities broker Michael Steven Yarus [CRD: 1543852, Paramus, New Jersey], according to public information reported on FINRA BrokerCheck. Michael Yarus worked for Wells Fargo Clearing Services LLC from May 24, 2012 to February 13, 2023, and most recently for Carter, Terry Company Inc. from February 21, 2023 to […]

Investors potentially experienced sales practice violations because of securities broker Lorraine Henry Geiss (also known as Lori Henry Geiss and Lorraine Marie Henry) [CRD: 1982429, Milwaukee, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lorraine Geiss worked for MML Investors Services LLC from March 25, 2017 to June 18, 2019. Keep reading […]

Investors reportedly complained about securities broker Derrick Timothy Watts [CRD: 2479608, Chicago, Illinois], according to public information reported on FINRA BrokerCheck. Derrick Watts joined Packerland Brokerage Services Inc. in Chicago, Illinois as both a securities broker and a financial advisor in January 2020. Before that, Watts worked with B. Riley Wealth Management in St. Charles, […]

Investors reportedly complained about securities broker Christopher Thomas Brothers (also known as Chris Brothers) [CRD: 2186156, Fort Lauderdale, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Brothers joined Maxim Group LLC on November 18, 2009. See the following information to find out more about the disclosures related to Brothers and the […]

Investors may have incurred losses due to securities broker Stuart Jay Spivak [CRD: 1883651, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Spivak joined Centaurus Financial Inc. on May 29, 2008, as a securities broker and on June 16, 2008, as a financial advisor. Keep reading to understand more about the […]

Investors reportedly complained about securities broker James Edward McArthur [CRD: 2797856, Massapequa, New York], according to public information found on FINRA BrokerCheck. James McArthur worked for IBN Financial Services Inc. from April 1, 2021 to June 17, 2022; Traderfield Securities Inc. from January 9, 2019 to September 25, 2020; and American Portfolios Financial Services Inc. […]