Investors possibly experienced losses because of securities broker Thomas Brian Swan [CRD: 1698430, Westlake Village, California], and Securities and Exchange Commission (SEC) brought a complaint against him, according to publicly available disclosures. Evidently, Thomas Swan has worked for Western International Securities Inc. since 2008 as a securities broker and since 2014 as a financial advisor. […]

Investors might have sustained losses due to financial advisor/ securities broker Scott Gerald Thole [CRD: 4516390, Saint Paul, Minnesota], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thole has been employed by Merrill Lynch Pierce Fenner Smith Incorporated since May 13, 2016. Continue reading to learn more about the allegations and disclosures related […]

Investors complained about securities broker Randall Blake Barkhurst (also known as Randy Barkhurst) [CRD: 2104888, Tualatin, Oregon], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Randall Barkhurst worked for Pruco Securities LLC since December 17, 1990, and Prudential Financial Planning Services since October 13, 2008. The following information is an overview of […]

Investors might have sustained losses due to securities broker Nabil Bouab [CRD: 4340284, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nabil Bouab worked for Garden State Securities Inc. from October 31, 2022, to June 13, 2024, and for American Portfolios Financial Services Inc. from July 26, 2013, […]

Investors possibly experienced losses because of securities broker Mark Allen Upchurch [CRD: 2937074, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Upchurch worked for Centaurus Financial Inc. from March 1, 2012, to September 21, 2020. Here’s more about the securities broker’s disclosures. Investor Accused Upchurch Of Breach Of Fiduciary Duty […]

Investors complained about securities broker Marc Edmond Haggar [CRD: 4146965, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Marc Haggar has worked for UBS Financial Services Inc. since December 6, 2011. The following information is an overview of the securities broker’s disclosures. UBS Financial Services Investor Accused Haggar Of Failure […]

Investors possibly experienced losses because of securities broker Janet T. Doherty [CRD: 2073278, Staten Island, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Doherty worked for OSAIC Wealth Inc. from June 15, 2004, to February 8, 2024. Doherty also joined Cetera Advisors before working for both Vanderbilt Securities and Vanderbilt […]

Investors complained about securities broker Gary William Holland [CRD: 852976, Leominster, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gary Holland worked for Ameriprise Financial Services Inc. until 2015. He joined Cetera Investment Advisers in 2023 and Cetera Advisor Networks in 2021. Here’s more about the securities broker’s disclosures and the […]

Investors possibly experienced losses because of securities broker Celeste Oi Ling Leung (also known as Celeste Ling Ho) [CRD: 4812260, Burlingame, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leung worked for Cambridge Investment Research Inc. from May 2, 2024, to June 5, 2024, Ameriprise Financial Services LLC from April 19, 2024, […]