Investors potentially experienced losses because of securities broker James Taylor Davis [CRD: 6646090, Lexington, Kentucky], according to disclosures on FINRA BrokerCheck. It appears that Davis worked for Northwestern Mutual Investment Services LLC from December 13, 2017, to June 21, 2024. Keep reading to learn more about the client disputes regarding Davis. Northwestern Mutual Investment Services […]

Investors apparently complained about securities broker Howard Jeffrey Douglas [CRD: 1043662, Dix Hills, New York], according to disclosures on FINRA BrokerCheck. Apparently, Douglas worked for Equitable Advisors LLC from June 1, 2005, to December 7, 2021. He subsequently registered with APS Wealth Management LLC, American Portfolios Advisors Inc., American Portfolios Financial Services Inc., and currently […]

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 […]

Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian Hayden Solomon (CRD: 1715160, Encinitas, California). Solomon has worked in the financial industry for 37 years and has been registered with Independent Financial Group LLC since 2005. Recent disclosures reveal concerns regarding Solomon’s conduct, including allegations related to the suitability of investments and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Bradley Scot Frisk (also known as Bradley S. Frisk) [CRD: 5957389, Sacramento, California]. Evidently, Frisk has been registered with Raymond James Financial Services Inc. and Raymond James Financial Services Advisors Inc. since June 30, 2023. Notably, recent disclosures reveal concerns about Frisk’s conduct, including […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Barrett Reynolds [CRD: 5976029, Canonsburg, Pennsylvania]. Reynolds worked for Pruco Securities LLC from September 2, 2021, to January 24, 2023, and Wesbanco Securities Inc. from May 5, 2017, to March 5, 2021. Recent client disputes and regulatory actions about Reynolds involve allegations of […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Mark David Wolpert [CRD: 2692529, Plymouth, Minnesota]. Wolpert joined MSI Financial Services Inc. on March 25, 2017. He also previously worked for MetLife Securities. Recently, a client initiated a complaint about Wolpert, accusing him of making sales practice violations relating to REITs and variable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Karen Degro [CRD: 5048237, Boca Raton, Florida]. Evidently, Karen Degro worked for UBS Financial Services Inc. from April 27, 2016, to October 3, 2023, and works for Herbert J. Sims Co. Inc. as of September 22, 2023. Degro has been involved in client disputes […]