Investors potentially incurred losses because of securities broker John Paul Ledesma (also known as JP Ledesma) [CRD: 2379751, Irvine, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ledesma has been registered with Emerson Equity LLC since May 6, 2021, and previously worked for Sutter Capital Partners LLC from March 26, […]

Investors might have sustained losses due to securities broker Thomas Christophe Prentice [CRD: 874774, Rancho Mirage, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas Prentice has been registered with RBC Capital Markets LLC since January 6, 2016. Keep reading to find out more about Thomas Prentice’s disclosures. RBC Capital […]

Investors potentially experienced sales practice violations by securities broker Erick George Revelle (also known as Erick Kuebler) [CRD: 2319437, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Erick Kuebler has been registered with Sanders Morris LLC as a securities broker since November 22, 2016, and as a financial advisor since December […]

Investors potentially experienced sales practice violations by securities broker Roy Alvin Williams Sr. [CRD: 1069297, Stratford, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roy Williams worked for Center Street Securities Inc. from October 27, 2016, to August 7, 2023, and Center Street Advisors Inc. from March 6, 2017, to […]

Investors apparently complained about securities broker David Kristopher Griffith [CRD: 3072664, Utica, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Griffith has been registered with LifeMark Securities Corp. since May 12, 2015, and has also been registered with LifeMark Securities Corp. as a financial advisor since October 2, 2015. […]

Investors apparently complained about securities broker Robert Ronald Obraitis [CRD: 2124486, Lansdowne, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Obraitis worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. from February 21, 2014, to April 17, 2025, and has been registered with Summit Financial LLC since April 15, […]

Investors might have sustained losses due to securities broker Joshua David Chapin [CRD: 5825638, Corona Del Mar, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chapin has been registered with Emerson Equity LLC as a securities broker since November 12, 2015, and as a financial advisor since November 13, 2015. […]

Investors apparently complained about securities broker Aaron Pierce Sevigny [CRD: 4314368, Bonita Springs, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sevigny has been registered with United Planners Financial Services of America (United Planners) as a securities broker since August 21, 2006, and as a financial advisor since August 25, […]

Investors apparently complained about securities broker Ehud Gersten (also known as Gersten Ehud) [CRD: 7066119, Ann Arbor, Michigan], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gersten has been registered with Concorde Investment Services LLC since August 19, 2025, and previously worked for Concorde Asset Management LLC from August 19, 2025, […]