Investors may have suffered financial harm by securities broker Rainey Steven Rogers Sr. [CRD: 1839823, McKinney, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rogers worked for Principal Securities Inc. from August 30, 1988, to February 14, 2022, as a securities broker and from March 24, 2005, to February 14, 2022, as […]

Investors may have suffered financial harm by securities broker Joshua Keith Rushing (also known as Josh Keith Rushing) [CRD: 6399994, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joshua Rushing worked for Cetera Advisors LLC from December 1, 2023, to June 9, 2025, and previously worked for Edward Jones from November […]

Investors may have suffered financial harm by securities broker Wen Che [CRD: 6911319, Irvine, California], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Che has worked for Emerson Equity LLC as a securities broker since May 7, 2019, and as a financial advisor since May 8, 2019. Che also worked for Independent Financial […]

Investors potentially incurred losses because of securities broker Jonathan Blount [CRD: 5700831, Ruston, Louisiana], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jonathan Blount has worked for LPL Financial LLC since October 13, 2016, in Ruston, Louisiana. Read on to find out more about disclosures involving Jonathan Blount. LPL Financial Investor […]

Investors apparently complained about securities broker Dean Patrick McDermott [CRD: 1731834, Bethlehem, Pennsylvania], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McDermott has been associated with McDermott Investment Advisors LLC since September 24, 2004. He has also been with McDermott Investment Services LLC since May 19, 2011. Investors are encouraged to continue reading […]

Investors apparently complained about securities broker Benjamin Franklin Duckett [CRD: 6143741, Carlsbad, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benjamin Duckett has worked for Morgan Stanley in Carlsbad, California, as a securities broker since January 11, 2013, and as a financial advisor since January 30, 2013. Keep reading to […]

FINRA suspended securities broker William David Miller [CRD: 4547912, Cary, North Carolina], and one or more investors complained about him, according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Miller worked for Osaic Wealth Inc. from January 24, 2025, to September 26, 2025, Osaic FS Inc. from December 27, 2018, to […]

Investors potentially experienced sales practice violations by securities broker Andrew Martz [CRD: 5118326, Southlake, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Andrew Martz worked for Western International Securities Inc. and Western International Securities from July 13, 2017, and July 14, 2017, respectively, through June 5, 2025, and has been registered with […]

Investors potentially incurred losses because of securities broker Richard Raymond Brown [CRD: 2541545, Valley Village, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brown worked for Lincoln Financial Advisors Corporation from December 19, 1997, to December 26, 2019, and has been associated with Arete Wealth Management LLC and Arete Wealth Advisors […]