Investors potentially incurred losses because of securities broker Matthew Thomas Stratman [CRD: 5834026, Westlake Village, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stratman worked for Western International Securities Inc. from September 27, 2017, to December 31, 2023. Keep reading for details about Stratman’s disclosures. Western International Securities Investor […]

Investors potentially experienced sales practice violations due to securities broker Vincent Jerome Camarda [CRD: 2463703, Massapequa, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Camarda worked for American Portfolios Financial Services Inc. from April 22, 2014, to December 31, 2018, Traderfield Securities Inc. from January 9, 2019, to September 25, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Ronald Harland Berg [CRD: 19008, Anaheim, California]. Evidently, Berg worked for Innovation Partners LLC until May 31, 2024, when FINRA permanently barred him from associating with any FINRA member. Keep reading to learn more about Berg’s client disputes and the regulatory actions against him. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Ronald G. Smith (also known as Ron Smith) [CRD: 6038062, Stamford, Connecticut]. In 2024, Smith joined Sanford C. Bernstein Co. LLC and Alliance Bernstein LP. He worked for Spartan Capital Securities LLC from July 1, 2013, to December 26, 2023. Investors filed claims about […]