Investors may have incurred losses due to securities broker Marcial A. Vargas [CRD: 5953263, Redwood City, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marcial Vargas worked for Wells Fargo Clearing Services LLC from August 15, 2014, to June 30, 2022, and has worked with Ameriprise Financial Services LLC in Redwood City […]

One or more investors potentially experienced sales practice violations due to securities broker Jeremiah Neil Taylor [CRD: 7002957, Austin, Texas], based on publicly available information reported on FINRA BrokerCheck. Jeremiah Taylor has worked with Charles Schwab & Co. Inc. since March 11, 2019, serving as both a broker and an investment adviser at the firm’s […]

Investors might have sustained losses because of securities broker Pamela Jean Tipton (also known as Pamela Jean Dahl, Pamela Jean Letbetter, and Pamela Jean Rogers) [CRD: 5967109, Montgomery, Texas], according to publicly available information reported on FINRA BrokerCheck. Tipton has worked with Raymond James Financial Services Inc. and Raymond James Financial Services Advisors Inc., both […]

One or more investors potentially experienced sales practice violations due to securities broker Robert Leroy Straight (also known as Bob Straight) [CRD: 2502075, Frisco, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Straight has worked with RBC Capital Markets LLC since January 10, 2014, serving clients from both Frisco and Lewisville, […]

Investors supposedly complained about securities broker John William Shaffer Jr. [CRD: 1800679, East Freedom, Pennsylvania], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shaffer worked for GWN Securities Inc. from January 2, 2019, and also worked with Latitude Advisors LLC as of January 3, 2019. See the following information to learn more about […]

Investors potentially experienced sales practice violations because of securities broker Jeffrey Lane Werdesheim (also known as Jeffrey Lanne Werdesheim) [CRD: 1892046, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Werdesheim has worked for Oppenheimer Co. Inc. since January 3, 2003, in Los Angeles, and works for their Westlake Village, […]

Investors might have sustained losses due to securities broker Daniel Tuan Kien Loy (also known as Tuan Loy) [CRD: 3029654, Milpitas, California], according to disclosures on FINRA BrokerCheck. Evidently, Daniel Loy has worked with Independent Financial Group LLC following his registration with Voya Financial Advisors. Check out the following information about the disclosures involving this […]

Investors possibly experienced sales practice violations because of securities broker Christopher Mark DiBari (also known as Chris DiBari) [CRD: 3012315, Milford, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DiBari worked for PNC Investments from July 14, 2011, to the present. Below, you can find important information about the disclosures involving this […]

Investors potentially experienced losses because of securities broker Todd Ryan Blessing [CRD: 4369846, Cincinnati, Ohio], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Todd Blessing worked for CUSO Financial Services L.P. from October 19, 2011, to May 15, 2025, and is currently working with LPL Financial LLC as of May […]