Investors might have sustained losses due to securities broker Bradley Owen Davidson [CRD: 5142256, Mission Viejo, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Davidson has been registered with Emerson Equity LLC since February 2, 2024, and previously worked for firms including Secure Asset Management LLC from February 22, […]

Investors might have sustained losses due to securities broker Tammy Tenney Paquette (also known as Tammy G. Tenney) [CRD: 5110668, Tucson, Arizona], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tammy Paquette worked for LPL Financial LLC from April 19, 2012, to the present, and was also registered as a […]

Investors potentially experienced sales practice violations by securities broker James Charles Killeen [CRD: 2666093, Pasadena, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Killeen worked for Stifel Nicolaus Company Incorporated from July 6, 2009, to February 23, 2024. Read on to discover more about the disclosures involving this securities […]

Investors potentially incurred losses because of securities broker George Wilson Howe [CRD: 2768019, Austin, Texas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. George Howe has been registered with LPL Financial LLC since May 29, 2025, and previously worked for U.S. Capital Wealth Advisors LLC from June 30, 2021, to June […]

Investors have reportedly disputed the sales practices of securities broker Anthony Raymond D'Ascoli (also known as Anthony Dascoli) [CRD: 4133420, Delray Beach, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony D'Ascoli has worked for Oppenheimer Co. Inc. since September 5, 2013, as a broker, and since September 11, 2013, […]

Investors apparently complained about securities broker Andrew Jonathan Tressler (also known as Andy Tressler) [CRD: 2776349, Raleigh, North Carolina], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tressler worked for Trident Partners Ltd. from September 8, 2015, to March 4, 2026, and has been registered with Modern Capital Securities Inc. since […]

Investors apparently complained about securities broker Jeffery Alan Wimer (also known as Jeffrey Alan Wimer) [CRD: 2985293, Fort Lee, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wimer worked for Citigroup Global Markets Inc. from March 13, 2012, to March 21, 2024. Investors should review the information below to discover more […]

Investors potentially incurred losses because of securities broker Roger Henry Ingwersen (also known as Roger Harold Ingwersen) [CRD: 255050, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ingwersen has been registered with AW Securities since July 5, 2023, and Allworth Financial, L.P. since July 5, 2023, and previously worked with The […]

Investors potentially experienced sales practice violations by securities broker Jay Martin Spieler [CRD: 1072642, Coral Gables, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jay Spieler has worked for Oppenheimer Co. Inc. since January 3, 2003, and has been registered there as a financial advisor since April 28, 2006. See […]