Investors might have sustained losses due to securities broker Jordan P. Rider [CRD: 5292169, Leawood, Kansas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Jordan Rider worked for LPL Financial LLC since December 14, 2010, and more recently for The Wealth Consulting Group since July 14, 2023. He also worked […]

FINRA sanctioned securities broker James Ryan Parascandola [CRD: 2866028, East Brunswick, New Jersey] and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Parascandola worked for Pruco Securities LLC from May 16, 2022, to May 21, 2024, and for Equitable Advisors LLC from December 9, 2020, to May 18, […]

One or more investors apparently complained about securities broker Mark Wilkinson Richards (also known as Mark Wilkinson Dickey) [CRD: 2730478, Tijeras, New Mexico], according to disclosures on FINRA BrokerCheck. Evidently, Richards has worked for Madison Avenue Securities LLC in Tijeras, New Mexico since July 24, 2006, as a broker, and since March 25, 2009, as […]

Investors potentially experienced sales practice violations because of securities broker Jennifer Kim [CRD: 2322771, Los Angeles, California], based on disclosures through FINRA’s BrokerCheck. Evidently, Jennifer Kim worked for Signator Investors Inc. from March 4, 1993, to November 2, 2018; for Osaic Wealth Inc. from November 2, 2018, to August 24, 2023; and has been registered […]

One or more investors apparently complained about securities broker Madison Morgan [CRD: 7654959, Mandeville, Louisiana], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Madison Morgan has been a registered broker with NYLIFE Securities LLC in Mandeville, Louisiana, since June 22, 2023. Keep reading to discover more about the disclosures involving Madison Morgan […]

One or more investors apparently complained about securities broker Dwight Kristopher Kay [CRD: 5376903, Torrance, California], based on disclosures on FINRA BrokerCheck. Evidently, Dwight Kay worked for FNEX Capital LLC starting January 21, 2022, and previously was registered with Growth Capital Services Inc. from July 23, 2020, to January 14, 2022, and with WealthForge Securities […]

One or more investors apparently complained about securities broker Chris Toomey (also known as Paul Christian Toomey) [CRD: 4560193, Sugar Land, Texas], based on disclosures through FINRA’s BrokerCheck. Evidently, Chris Toomey has been registered with J.P. Morgan Securities LLC since September 1, 2021, as a broker, and since October 12, 2021, as an investment adviser. […]

Investors reportedly may have incurred losses due to securities broker B. David Goldstein [CRD: 1718066, Rancho Mirage, California], according to disclosures on FINRA BrokerCheck. It appears that Goldstein worked for Western International Securities Inc. from May 29, 2015, to June 22, 2022. He is currently registered with Osaic Wealth Inc. since June 14, 2024, and […]

Investors might have sustained losses due to securities broker Rita Mansour [CRD: 1968418, Toledo, Ohio], according to disclosures on FINRA BrokerCheck. It appears that Rita Mansour has been registered with McDonald Partners LLC since September 15, 2006, both as a broker and as an investment adviser. Keep reading to learn more about the disclosures involving […]