Investors apparently complained about securities broker Robert Harold Sweet (also known as Bob Sweet) [CRD: 4090608, El Paso, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Sweet joined Independent Financial Group, LLC as a broker on February 22, 2016, and as an investment adviser on March 23, 2016. Read below […]

Investors have reportedly disputed the sales practices of securities broker Ashley Charles Woodard [CRD: 4703144, Greenville, South Carolina], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Woodard worked for NYLIFE Securities LLC from December 21, 2017, to October 28, 2020; IFS Securities from February 15, 2017, to November 13, 2017; and […]

Investors apparently complained about securities broker George Edward Hovany [CRD: 1188851, Vernon Hills, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hovany worked for Wintrust Investments LLC from November 21, 2008, to July 6, 2020. Read below to find out more about the disclosures related to Hovany. Wintrust Investments Investor Accused […]

Investors might have sustained losses due to securities broker Matthew Joseph McDonald [CRD: 2837629, Walled Lake, Michigan], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McDonald joined Sigma Financial Corporation on November 11, 1999, and SPC on November 5, 2002. Keep reading to learn more about the disclosures concerning McDonald. Sigma […]

Investors potentially experienced sales practice violations due to securities broker Genevieve Mar (also known as Gen Mar) [CRD: 2744037, Northbrook, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Garcia Mar joined Berthel, Fisher Company Financial Services Inc. on November 5, 2010, and BFC Planning Inc. on October 15, 2024. Keep reading […]

Investors might have sustained losses through securities broker John Martin Bussa [CRD: 4418922, Southfield, Michigan], according to publicly available information on FINRA BrokerCheck. Evidently, Bussa joined Osaic Wealth Inc. on January 24, 2025. He previously worked for Osaic FA Inc. from July 16, 2001, to January 24, 2025. Keep reading to learn more about the […]

One or more investors possibly experienced losses because of securities broker Robert Stanley Fagan [CRD: 1572927, Leucadia, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Fagan worked for Madison Avenue Securities LLC in Encinitas, California, from July 25, 2006, to December 22, 2021, before moving to First Allied Securities […]

Investors reportedly complained about securities broker Dennis Michael Haywood II (also known as Denny Haywood) [CRD: 5850275, Land O’ Lakes, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Haywood worked for Crown Capital Securities, L.P. from March 18, 2013, to January 5, 2022. Keep reading to find out more about Haywood’s disclosures and the disputes […]

One or more investors possibly experienced losses because of securities broker Jeffrey Lynn Bangerter [CRD: 1687028, Roseville, California], according to publicly available information on FINRA BrokerCheck. Evidently, Bangerter joined Concorde Investment Services LLC on February 28, 2019, and joined Concorde Asset Management LLC on May 4, 2023, and Bangerter Financial Services Inc. on October 20, […]