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 […]

FINRA barred securities broker Jordan Paul Meadow [CRD: 6116538, New York, New York] and an investor disputed his sales practices, according to disclosures on FINRA BrokerCheck. Meadow previously worked for Spartan Capital Securities LLC from July 27, 2018, to June 28, 2023, and before that, for Newbridge Securities Corporation from March 27, 2017, to July […]

Investors possibly experienced sales practice violations because of securities broker Peter Raymond Dorn [CRD: 1089858, McDonough, Georgia], according to disclosures on FINRA BrokerCheck. Evidently, Peter Dorn has worked for Cape Securities Inc. since June 16, 2017. Check out the following information about the securities broker’s disclosures. Cape Securities Inc. Investor Accused Dorn Of Unsuitable Recommendations […]