Investors apparently complained about securities broker Kenneth Cecil Sledge Jr. [CRD: 824533, Nashville, Tennessee], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sledge joined Osaic Wealth Inc. on January 24, 2025. Prior to that, he worked for Osaic FA Inc. in Nashville, Tennessee, from April 14, 1988, through January 24, 2025. Read the […]

Investors reportedly complained about securities broker John Brian Lee (also known as Brian Lee) [CRD: 2950037, Fort Worth, Texas], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Lee worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. from June 7, 2012 to August 25, 2021, and […]

One or more investors might have sustained losses due to securities broker Kevin Patrick O’Sullivan [CRD: 4499275, Quincy, Massachusetts], based on publicly available information reported on FINRA BrokerCheck. Kevin O’Sullivan has worked with Commonwealth Financial Network in Quincy, Massachusetts since September 23, 2016, as a broker, and since September 26, 2016, as an investment adviser. […]

Investors apparently complained about securities broker Harry Allan Horn [CRD: 1031140, Lutherville, Maryland], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Harry Horn worked for Lincoln Financial Advisors Corporation from June 4, 1982, to April 22, 2022. Below, you can learn more about the disclosures involving Harry Horn, including serious allegations […]

Investors potentially experienced sales practice violations because of securities broker Dennis Michael Azary [CRD: 2384263, Tampa, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dennis Azary worked for Growth Capital Services Inc. from May 4, 2012, to February 8, 2022. He has since held registrations with Finalis Securities LLC in Daly […]

Investors apparently complained about securities broker Brian Troy Hinson [CRD: 2783737, Huntsville, Alabama], according to disclosures on FINRA BrokerCheck. It appears that Brian Hinson worked for LPL Financial LLC from April 30, 2015 to December 5, 2023. Keep reading to learn more about Hinson’s disclosures involving investor allegations. Lincoln Financial Advisors Corporation Investor Accused Hinson […]

If you invested in Energy Resources 12 LP through David Lerner Associates, you may have concerns about the value of your investment. This investment vehicle, designed to provide individual investors access to the oil and gas industry within the United States, has faced challenges. Below, Soreide Law Group will provide a quick summary of the […]

Investors possibly experienced losses because of securities broker Richard Glenn Shaw (also known as Rick Glenn Shaw) [CRD: 1870018, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Shaw has worked for Lincoln Financial Advisor Corporation (now known as OSAIC FA Inc.) since June 1, 1998. Here’s more about the […]

Investors complained about securities broker / financial advisor Michael Joseph Valenta (also known as Mike Valenta) [CRD: 1386978, Westminster, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Valenta joined Cambridge Investment Research Inc. on June 19, 2008. The following information is an overview of the securities broker’s disclosures. Cambridge Investment […]