Investors apparently complained about securities broker Gregory Baines Iglow [CRD: 2783963, Agoura Hills, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Iglow has worked for Oppenheimer Co. Inc. beginning on June 14, 2007, where he has been registered as both a broker and an investment adviser. Investors should continue […]

Investors potentially incurred losses because of securities broker Christopher Michael Dukes (also known as Chris Dukes) [CRD: 4712873, Westlake Village, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Dukes worked for WestPark Capital Inc. beginning November 14, 2017, and previously worked for Delta Investment Management LLC from November 1, 2018, to […]

FINRA barred securities broker Raymond William Clark [CRD: 2865619, Red Bank, New Jersey], and one or more investors complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Clark worked for Garden State Securities Inc. from November 8, 2019, to March 24, 2021, Monmouth Capital Management LLC from March 23, 2021, […]

Investors potentially experienced sales practice violations by securities broker Jason Bryce Vanclef [CRD: 5096529, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jason Vanclef worked for Westpark Capital Inc. from October 9, 2017, to January 27, 2020, and later associated with Delta Investment Management LLC from November 26, 2018, to […]

Investors apparently complained about securities broker Aaron Brian Graham [CRD: 3167246, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Aaron Graham worked for United Planners’ Financial Services of America A Limited Partner beginning August 2, 2005, and has also been registered with AG Financial since April 19, 2006. Continue […]

Investors might have sustained losses due to securities broker Gary Thomas Hughes [CRD: 1700976, Hermosa Beach, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gary Hughes worked for Concorde Investment Services LLC from June 12, 2013, to July 6, 2022. Investors can see below to learn more about the disclosures involving […]

Investors potentially experienced sales practice violations by securities broker John Francis Femiano [CRD: 2132030, Red Bank, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Femiano worked for Alexander Capital LP beginning April 6, 2023, previously for A.G.P. / Alliance Global Partners from May 18, 2021, to April 25, […]

Investors apparently complained about securities broker Jeffrey Allen Morris [CRD: 2478499, Estes Park, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Moloney Securities Co. Inc. from March 16, 2012, to December 5, 2025, and Moloney Securities Asset Management LLC from December 9, 2016, to December 5, 2025. Continue reading […]

Investors might have sustained losses because of securities broker Timothy Allen Nobles Jr. (also known as Tim Nobles) [CRD: 3261124, Spirit Lake, Iowa], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that he has been registered with Investment Planners Inc. since November 9, 1999, and with IPI Wealth Management […]