Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Maxwell Douglas Peckler (also known as Max Peckler) [CRD: 2391251, Boston, Massachusetts]. Peckler worked for UBS Financial Services Inc. from June 20, 2003, to December 9, 2021. He also worked for First Republic Securities Company LLC from November 12, 2021, to September 29, 2023. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Mark David Wolpert [CRD: 2692529, Plymouth, Minnesota]. Wolpert joined MSI Financial Services Inc. on March 25, 2017. He also previously worked for MetLife Securities. Recently, a client initiated a complaint about Wolpert, accusing him of making sales practice violations relating to REITs and variable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures concerning securities broker Juan Manuel Ramos [CRD: 1956224, Downey, California]. Ramos joined Centaurus Financial Inc. on February 8, 2011. Prior to this, he worked for other firms, including Sammons Securities Company LLC and Tower Square Securities Inc. Ramos’s career has been marked by some client disputes, with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures regarding securities broker Louis Peter Goff [CRD: 4882759, Salt Lake City, Utah]. Goff worked for Wells Fargo Clearing Services LLC from September 12, 2011, to October 25, 2023. Keep reading to learn more about the allegations that have led to regulatory actions about Goff. SEC Bars Goff […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Leslie Ann Lauer [CRD: 2941432, Columbus, Ohio]. Evidently, Lauer worked for UBS Financial Services Inc. from May 2, 2006, to August 29, 2023, before joining RBC Capital Markets LLC in Atlanta, Georgia, on August 18, 2023. Keep reading to learn more about the client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Kyle Mostransky [CRD: 4763425, Huntington, New York]. Mostransky has worked for NYLIFE Securities LLC in Huntington, New York, since January 5, 2012. Evidently, he has faced client disputes regarding his conduct in the securities industry. Continue reading to learn more about the allegations and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Kurt Allen Berry [CRD: 4550773, Elizabethton, Tennessee]. Berry worked for Vanderbilt Securities LLC from November 1, 2019, to July 7, 2022, and Regulus Advisors LLC from October 5, 2016, to November 6, 2019. Recently, Berry has faced sanctions and a client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Karen Degro [CRD: 5048237, Boca Raton, Florida]. Evidently, Karen Degro worked for UBS Financial Services Inc. from April 27, 2016, to October 3, 2023, and works for Herbert J. Sims Co. Inc. as of September 22, 2023. Degro has been involved in client disputes […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor John Norman Doiron [CRD: 5305305, Toano, Virginia]. Doiron has worked for Cabot Lodge Securities LLC since 2013 and CL Wealth Management LLC since 2012. Keep reading to learn about the client disputes related to Doiron’s handling of private placements, including GWG […]