Investors apparently complained about securities broker August Anthony Ferretti [CRD: 6781808, Parsippany, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Ferretti has worked for Bankers Life Securities Inc. since April 21, 2017, and with Bankers Life Advisory Services Inc. since September 25, 2018. Here’s more about the securities broker’s disclosures. Bankers […]

Investors reportedly may have incurred losses due to securities broker Ashlee Nicole Godfrey (also known as Ashlee Nicole Bramlett and Ashlee Nicole Sharp) [CRD: 5889108, Dalton, Georgia], according to disclosures on FINRA BrokerCheck. According to the regulator, Godfrey worked for Benjamin F. Edwards Company Inc. from October 1, 2021, to November 21, 2023, and for […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Joseph Dewey Jackson (also known as Joe Jackson, Joey Jackson) [CRD#: 2351290, Fayetteville, North Carolina]. With over 31 years of experience, Jackson has been affiliated with ten different firms, currently operating as a General Securities Principal and Investment Adviser Representative at Capital Investment Group, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Reyes (also known as Thomas Reyes Jr., Tom Reyes Jr.) [CRD: 3168338, La Vista, Nebraska]. Reyes was previously registered as a broker and investment adviser, working for firms such as Raymond James Financial Services Inc., and NEXT Financial Group Inc. Recent regulatory actions […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michelle Elise Anthony (also known as Michelle Elise Murphy, Michelle Elise Murphy Anthony, Michelle Elise Murphy-Wall) [CRD#: 4512228, Tucson, Arizona]. Michelle Anthony has worked in the securities industry for over 21 years and is currently registered with Centaurus Financial Inc. in Tucson, Arizona. Since […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Matthew Bradley Mitchell (also known as Matthew Mitchell) [CRD: 4854608, Tulsa, Oklahoma]. Mitchell previously worked for BOK Financial Securities Inc. from August 2008 to January 2023 before joining Aegis Capital Corp. in January 2023. Recent disclosures raise concerns about Mitchell’s professional conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Marcel Pahmer (CRD#: 4565391, Newport Beach, California). Pahmer worked for Centaurus Financial Inc. from November 2007 to January 2025 and previously for AXA Advisors LLC from October 2002 to November 2007. Recent disclosures reveal concerns about Pahmer’s conduct, including allegations of recommending unsuitable, high-risk, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Lawrence Roger Rice (CRD#: 375304, Lauderdale by the Sea, Florida). Rice was previously registered with multiple firms, including Centaurus Financial Inc. (2022-2024) and Ameriprise Financial Services Inc. (2014-2022). Recent disclosures indicate that FINRA has permanently barred Rice from acting as a broker or associating […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Kim Ray Kunz (CRD#: 718618, Atascadero, California). Kunz was previously registered with WestPark Capital Inc. from November 2017 to January 2025, and has worked at several other firms throughout his 44-year career in the securities industry. Recent disclosures highlight regulatory actions and client disputes […]