Investors potentially incurred losses because of securities broker Eric Lee Diamond (also known as Rick Diamond) [CRD: 1602991, Wellington, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Eric Diamond worked for Fidelity Brokerage Services LLC from January 10, 2007, to the present, and Strategic Advisers LLC from March 31, 2025, to […]

Investors potentially experienced sales practice violations by securities broker Aubrey Walter Lee Jr. [CRD: 1685532, Farmington Hills, Michigan], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Aubrey Lee worked for Merrill Lynch from August 18, 1987, to October 2, 2024. Keep reading to find out more about the disclosures involving […]

Investors have reportedly disputed the sales practices of securities broker Alvaro Mauricio Jiron [CRD: 4226147, Coral Gables, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jiron worked for Infinex Investments Inc. from July 5, 2016, to February 20, 2023, before joining LPL Financial LLC on February 24, 2023, where […]

Investors might have sustained losses due to securities broker Cynthia Lynn Price (also known as Cynthia Lynn Carlson) [CRD: 2100246, Winter Springs, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Price has been registered with Equitable Advisors LLC since June 1, 2005. See the following information to learn more about the disclosures […]

Investors might have sustained losses due to securities broker Michael Vernon Biggs (also known as Mike Biggs) [CRD: 1697481, Clarksville, Tennessee], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Biggs worked for Equitable Advisors LLC since January 18, 2008. Investors are encouraged to continue reading to find out more about the […]

Investors potentially incurred losses because of securities broker Norman Francis D'Silva (also known as Norman Francis Dsilva) [CRD: 2420634, Ormond Beach, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. D'Silva has been registered with PFS Investments Inc. since January 28, 1994, and with Primerica Advisors since July 27, 2016. See […]

Investors might have sustained losses due to securities broker Marc Charles Koch [CRD: 4978078, New York, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Koch worked for Morgan Stanley from March 30, 2023, to the present, First Republic Investment Management Inc. from November 7, 2022, to April 25, […]

Investors apparently complained about securities broker Scott S. Gregory [CRD: 4426847, Decatur, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Gregory worked for Benjamin F. Edwards Company Inc. from July 3, 2023, to November 26, 2025. See the following information to find out more about this broker’s disclosures and what they […]

Investors might have sustained losses due to securities broker Joseph Philip Tartaglini Jr. [CRD: 4963465, Reno, Nevada], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tartaglini has been registered with J.P. Morgan Securities LLC since August 18, 2017, where he has served as both a broker and an investment adviser. Investors […]