Investors potentially experienced losses due to securities broker Arthur Michael DeFilippo [CRD: 1348804, Boston, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Arthur DeFilippo has worked for Revere Securities LLC since July 8, 2010. Below, you can find important information about the disclosures involving this securities broker, which may be relevant […]

Investors might have sustained losses due to securities broker Karry Jean Maciak (also known as Karoline Maciak) [CRD: 4332863, Walnut Creek, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Maciak has worked for LPL Financial LLC since October 2, 2013, operating out of several California offices including Walnut Creek, Concord, Albany, […]

Investors possibly experienced sales practice violations because of securities broker Joseph Robert Weinbauer [CRD: 2714070, St. Louis, Missouri], according to publicly available information on FINRA BrokerCheck. Evidently, Joseph Weinbauer has worked for Berthel Fisher Company Financial Services Inc. since February 1, 2010, and with BFC Planning Inc. since May 24, 2016. Keep reading to learn […]

Investors might have sustained losses due to securities broker Scott Christopher Jackson [CRD: 4443921, Tampa, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Jackson has worked for J.W. Cole Financial Inc. since October 1, 2014, and J.W. Cole Advisors Inc. since October 2, 2014. Below, investors can review details about the securities broker’s disclosures, including […]

Investors potentially experienced sales practice violations due to securities broker Jason Christopher Klein [CRD: 2038304, Buffalo, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jason Klein has worked for UBS Financial Services Inc. in Buffalo, New York, since February 9, 2007, as both a broker and an investment adviser. Check […]

Investors might have sustained losses due to securities broker Mario Joseph Payne [CRD: 5445757, Jacksonville, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mario Payne worked for Raymond James Financial Services Inc. from May 3, 2013, to February 12, 2019. Below, you can find important information about the disclosures […]

Investors might have sustained losses due to securities broker Stephen Robert Marotto (also known as Steve Marotto) [CRD: 5473140, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stephen Marotto worked for First Republic Securities Company LLC and First Republic Investment Management Inc. from January 17, 2013, to May 19, […]

Investors possibly experienced sales practice violations because of securities broker Hui Zhang (also known as Celia Zhang) [CRD: 5918387, San Gabriel, California], according to disclosures on FINRA BrokerCheck. Zhang worked for Cetera Investment Services LLC in Alhambra, California, from January 28, 2013, to March 6, 2020, and Cetera Investment Advisers LLC in San Marino, California, […]

Investors might have sustained losses due to securities broker Leroy Born [CRD: 4052650, Tustin, California], according to disclosures on FINRA BrokerCheck. Evidently, Leroy Born has worked for Wells Fargo Clearing Services LLC since June 23, 2017, and has also worked for Wells Fargo Advisors since June 26, 2017. Below, you can find important information about […]