Investors potentially incurred losses because of securities broker Curvin Elwood Miller IV (also known as Curv Miller) [CRD: 5106137, Dayton, Ohio], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Curvin Miller worked for Arkadios Capital from September 14, 2022, to March 29, 2024, and previously worked for Kalos Capital Inc. from […]

Investors might have sustained losses due to securities broker James Dwight McPherson (also known as Jay McPherson) [CRD: 5918462, San Mateo, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McPherson worked for Emerson Equity LLC beginning on February 18, 2021, and previously worked for Great Point Capital LLC from February […]

Investors may have suffered financial losses connected to securities broker Michael Arthur Sebald (also known as Mike Sebald) [CRD: 1426782, Oshkosh, Wisconsin], based on information reported in Financial Industry Regulatory Authority (FINRA) BrokerCheck. Records show that Sebald was associated with Landolt Securities Inc. from January 15, 2009, until August 18, 2023. The information below outlines […]

Investors apparently complained about securities broker Ryan David Finch [CRD: 6379871, Greenwood Village, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Finch worked for Colorado Financial Service Corporation from September 1, 2017, to April 22, 2020, and he has been registered with Emerson Equity LLC since April 21, 2020. Keep reading to […]

Investors apparently complained about securities broker Daniel Philip Raupp [CRD: 4079107, Setauket, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Daniel Raupp has worked for Concorde Investment Services LLC since June 12, 2015. Investors should review the information below to learn more about disclosures involving Raupp’s conduct as reported […]

Investors have reportedly disputed the sales practices of securities broker William Joseph Jones [CRD: 1030683, San Rafael, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Jones has worked for Morgan Stanley beginning on June 1, 2009, and remains registered with the firm. Investors are encouraged to review the information […]

FINRA suspended securities broker Stephen Edward Trask [CRD: 1837307, Mechanicsburg, Pennsylvania], and investors complaint about him, based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Trask worked for Vanderbilt Securities LLC from April 14, 2012, to January 9, 2023. Investors are encouraged to continue reading to learn more about the disclosures involving this […]

Investors potentially experienced sales practice violations by securities broker Ronald Warren Wingerter [CRD: 4184143, Lady Lake, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ronald Wingerter worked for Arkadios Capital from December 19, 2017, to July 29, 2022. Continue reading to learn more about the disclosures reported on his record. Calton Associates […]

Investors might have sustained losses due to securities broker Michelle Fisher Osborne (also known as Michelle Osborne Fleming and Michelle Fisher Rachfalski) [CRD: 2256998, East Largo, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michelle Osborne worked for Emerson Equity LLC beginning on November 8, 2023, and previously worked for Cape Securities […]