One or more investors potentially experienced sales practice violations because of securities broker Brian Wayne Napier [CRD: 4555202, Greenwood, Indiana], based on publicly available information reported on FINRA BrokerCheck. Napier has worked with Ausdal Financial Partners Inc. since September 18, 2013, where he serves both as a broker and an investment adviser. Read on to […]

Investors may have incurred losses due to securities broker Arthur Dale Stevens [CRD: 2891757, Cadillac, Michigan], according to publicly available information reported on FINRA BrokerCheck. Arthur Stevens has worked with Packerland Brokerage Services Inc. since September 1, 2017. Below, individuals can find out more Stevens’ disclosures and allegations that have been filed against him. Packerland […]

Investors might have sustained losses due to securities broker Glenn Herbert Cray [CRD: 5184058, Epping, New Hampshire], based on publicly available information reported on FINRA BrokerCheck. Cray has worked with Moloney Securities Co. Inc. since September 18, 2015, and with Moloney Securities Asset Management LLC since December 9, 2016. Read on to find out more […]

Investors potentially experienced sales practice violations because of securities broker Colleen Alice Maron [CRD: 2211633, Albany, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Colleen Maron worked for Purshe Kaplan Sterling Investments from October 27, 2016 to December 31, 2023. Below, individuals can understand more about the client dispute disclosures involving […]

Investors apparently complained about securities broker Luke Cliff Schunk [CRD: 2387553, Tomahawk, Wisconsin], according to publicly available information reported on FINRA BrokerCheck. Schunk has worked with Moloney Securities Co. Inc. since March 16, 2012. See the following information to find out more Schunk’s disclosures involving client allegations. Schunk Disclosed Negligence Allegations By Moloney Securities Client […]

Investors potentially experienced sales practice violations because of securities broker Jeffrey Lane Werdesheim (also known as Jeffrey Lanne Werdesheim) [CRD: 1892046, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Werdesheim has worked for Oppenheimer Co. Inc. since January 3, 2003, in Los Angeles, and works for their Westlake Village, […]

Investors potentially experienced sales practice violations because of securities broker Brent Stanley Pine [CRD: 1618007, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brent Pine worked for Geneos Wealth Management Inc. from March 17, 2010, to October 8, 2021, and later joined Cetera Advisor Networks LLC from October 1, 2021, to […]

Investors possibly experienced sales practice violations because of securities broker Joseph Robert Weinbauer [CRD: 2714070, St. Louis, Missouri], according to publicly available information on FINRA BrokerCheck. Evidently, Joseph Weinbauer has worked for Berthel Fisher Company Financial Services Inc. since February 1, 2010, and with BFC Planning Inc. since May 24, 2016. Keep reading to learn […]

Investors potentially experienced losses because of securities broker Alexandre Jesus Maltez (also known as Alex Maltez) [CRD: 6506116, Winter Springs, Florida], according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Maltez worked for Newbridge Securities Corporation from August 23, 2019 to August 1, 2022, and for Newbridge Financial Services […]