Investors reportedly complained about securities broker James Earl Williams [CRD: 1631008, Boca Raton, Florida], based on public information found on FINRA BrokerCheck. Evidently, Williams joined Newbridge Securities Corporation on June 9, 2010, and was previously a registered investment adviser. Keep reading to learn more about the disclosures concerning James Williams. James Williams Disclosed Negligence, Breach […]

Investors potentially experienced sales practice violations due to securities broker Joseph Richard Muller [CRD: 6092175, Manchester, Missouri], according to disclosures on FINRA BrokerCheck. It appears that Muller joined Moloney Securities Co. Inc. on February 8, 2013, and Moloney Securities Asset Management LLC on February 23, 2016. Keep reading to find out more about Joseph Muller’s […]

One or more investors possibly experienced losses due to securities broker Patrick Morehead [CRD: 6661646, Los Angeles, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, Morehead worked for American Trust Investment Services Inc. from January 27, 2020 to September 14, 2020, and with WestPark Capital Inc. from November 14, 2017 […]

Investors might have sustained losses because of securities broker Jonna Doris Keller (also known as Jonna Edelmayer and Jonna Hansen) [CRD: 1983864, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. Keller joined Osaic Wealth Inc. on September 1, 2023, and previously worked at SagePoint Financial Inc. from December 7, 2015 to September 1, 2023. Keep […]

Investors potentially experienced sales practice violations because of securities broker Henrique Lucena [CRD: 5605196, Coral Gables, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Lucena worked for UBS Financial Services Inc. from August 4, 2010 to March 21, 2017, and Morgan Stanley from March 10, 2017 to July 30, 2020. He joined Laidlaw Company (UK) […]

Investors potentially experienced sales practice violations because of securities broker Gary Lee Leavitt [CRD: 712745, Whiting, Indiana], according to disclosures on FINRA BrokerCheck. Gary Leavitt worked for American Trust Investment Services Inc. from June 8, 2021 to February 14, 2025; McDermott Investment Services LLC from December 7, 2018 to October 22, 2020; and previously from […]

Investors reportedly complained about securities broker John Robert Openshaw [CRD: 2306112, Green Bay, Wisconsin], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Openshaw worked for KCD Financial Inc. from April 11, 2018 to November 16, 2020. Read below to know more about Openshaw’s disclosures and how they may impact affected […]

Investors may have incurred losses because of securities broker Joel Floyd Woods [CRD: 1470780, Fort Worth, Texas], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joel Woods worked for LPL Financial LLC from March 26, 2021 to December 16, 2024; Concorde Investment Services LLC from November 23, 2016 to March 26, […]

FINRA barred securities broker Brett Allen Rutherford [CRD: 4001310, Morehead City, North Carolina], and investors complaint about him, based on publicly available information found on FINRA BrokerCheck. Brett Rutherford worked for Capital Investment Group Inc. from September 18, 2015 to December 6, 2024. See the following information to find out more about the disclosures involving […]