Investors have reportedly disputed the sales practices of securities broker Alexis Leon Aldaz (also known as Alex Aldaz) [CRD: 3058560, Bonita, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Aldaz worked for Edward Jones from February 28, 2020, to September 24, 2025. Read on for details about the disclosures […]

Investors possibly experienced sales practice violations by securities broker Kyle W. Steibel [CRD: 6631554, Belleville, Illinois], according to disclosures on FINRA BrokerCheck. Evidently, Kyle Steibel worked for CUNA Brokerage Services Inc. from May 20, 2020, to February 16, 2022. Continue reading to find out more about the disclosures involving Steibel. Cuna Brokerage Services Inc. Investor […]

Investors apparently complained about securities broker Kevin Michael Dery [CRD: 2807430, Fort Lauderdale, Florida], according to publicly available information on FINRA BrokerCheck. Evidently, Dery has been registered with Wells Fargo Advisors Financial Network LLC and Wells Fargo Advisors since March 3, 2022, both located in Fort Lauderdale, Florida. Previously, Dery worked for Merrill Lynch in […]

Investors have reportedly disputed the sales practices of securities broker Kyle Mitchell McLaughlin [CRD: 2614967, Cincinnati, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McLaughlin worked for Morgan Stanley from September 23, 2013, to August 27, 2024, and currently works for RBC Capital Markets LLC since August 22, 2024. Read below […]

Investors apparently complained about securities broker Eric Kazuyoshi Takao [CRD: 804445, Honolulu, Hawaii], based on disclosures found on FINRA BrokerCheck. Evidently, Takao has worked for NYLIFE Securities LLC since September 27, 1982. Keep reading to find out more about the disclosures involving Takao and how they may have affected investors. NYLIFE Securities LLC Investor Accused […]

Investors reportedly complained about securities broker Barry Luther Buchholz (also known as Barry Bucholz) [CRD: 1583582, Cedar Rapids, Iowa], according to disclosures on FINRA BrokerCheck. Evidently, Buchholz worked for LPL Financial LLC from October 11, 2021, to November 29, 2024; Private Client Services LLC from April 25, 2018, to October 7, 2021; and Cambridge Investment […]

One or more investors possibly experienced losses because of securities broker John Austin Howle [CRD: 1284162, Dallas, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Howle worked for USCA Securities LLC beginning August 1, 2014, and also registered with U.S. Capital Wealth Advisors LLC as of June 30, 2021. Previously, […]

Investors might have sustained losses because of securities broker Wendell Holmes Trapp III (also known as Trey Trapp) [CRD: 6177720, Belden, Mississippi], according to disclosures on FINRA BrokerCheck. Wendell Trapp worked for Edward Jones from March 7, 2017 to March 5, 2024, and for San Blas Securities LLC from May 10, 2024 to June 10, […]

Investors supposedly complained about securities broker Francisco Javier Cabral [CRD: 5257195, Greenwich, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Francisco Cabral worked for David Lerner Associates Inc. in White Plains, New York, from January 5, 2007, to October 20, 2021, and has worked with Ameriprise Financial Services LLC in Greenwich, Connecticut, […]