Financial Industry Regulatory Authority (FINRA) barred securities broker Austin Richard Dutton Jr. [CRD: 2739167, Doylestown, Pennsylvania], according to disclosures on BrokerCheck. Not only that, but investors at both Newbridge Securities Corporation and American Trust Investment Services Inc. complained about him. Evidently, Austin Dutton. worked for American Trust Investment Services Inc. from May 27, 2020, to […]

Investors might have sustained losses due to securities broker William Dale Dobbs [CRD: 1064156, Clinton, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dobbs joined Centaurus Financial Inc. on April 7, 2009, in the capacities of both a securities broker and a financial advisor. Below, you’ll find a summary of the […]

Investors might have sustained losses due to securities broker Richard Benn McFarland Jr. [CRD: 1080626, Wyomissing, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard McFarland worked for Independent Financial Group LLC from July 15, 2022, to January 3, 2023, and for NPB Financial Group LLC from May 17, 2006, to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Ronald Luther Bucher [CRD: 1804910, Fort Myers, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ronald Bucher worked for San Blas Securities LLC from August 23, 2023, to August 31, 2023; Pinnacle Investments LLC […]

Investors might have sustained losses due to securities broker John Hayward Lord (also known as John Lord) [CRD: 1352023, Calhoun, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Lord joined Dempsey Lord Smith LLC on March 16, 2007. Keep reading to learn more about John Lord's disclosures. Dempsey Lord Smith […]

FINRA issued sanctions to securities broker Christopher Mack Watkins (also known as Christopher Watkins) [CRD: 2376887, Farmington, Utah], and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Christopher Watkins worked for Watkins Financial Services Inc. from September 22, 2000, to December 31, 2023. Keep reading to learn […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Stuart Bryan Haw [CRD: 2905167, Bradenton, Florida], based on the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Here’s more about the investor disputes involving Stuart Haw. Cetera Advisors LLC Investor Accused Haw Of Unsuitable Investment Recommendations […]

Investors may have incurred losses with securities broker Robert Gerald Lorente, also known as Bob Lorente [CRD: 1425180, Livonia, Michigan], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Lorente was previously registered with Great Point Capital LLC. Here’s more about the allegations made against Lorente by clients. Lorente Accused Of Misrepresentation […]

Investors might have sustained losses due to securities broker Philip Anthony Riposo [CRD: 400056, Cave Creek, Arizona], and FINRA has sanctioned him, according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Riposo was previously registered with United Planners' Financial Services of America A Limited Partner from December 7, 2015, to March 8, […]