Investors may have suffered financial harm by securities broker Carlos C. Garcia [CRD: 2635960, Westport, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia has worked for Kovack Securities Inc. and Kovack Advisors Inc. since October 19, 2012. See below to learn more about Garcia’s disclosures. Kovack Investor Accused Garcia Of […]

Investors might have sustained losses due to securities broker Jose Anthony Quinones Jr. (also known as Tony Quinones) [CRD: 1310742, Kissimmee, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Quinones worked for PFS Investments Inc. from October 29, 2014, to December 31, 2024. See below to find out more about Quinones and […]

Securities broker Robert Leroy Metz [CRD: 7282890, Covington, Kentucky] is barred, given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Metz was registered with Fidelity Brokerage Services LLC from November 12, 2020, to June 18, 2025. Continue reading to find out more about the disclosures involving Metz. FINRA Barred Metz For Failure […]

Investors potentially incurred losses because of securities broker Timothy Alan Volker [CRD: 6822657, Phoenix, Arizona], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Volker worked for LPL Financial LLC from August 12, 2021, to September 2, 2025. Read on to find out more about Volker’s disclosures. FINRA Investigates Volker For Outside […]

Investors potentially incurred losses because of securities broker Chad Anthony Schneider [CRD: 5479256, Greenwood Village, Colorado], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schneider worked for Strong Capital Markets LLC from January 15, 2024, through July 6, 2026. Investors are encouraged to continue reading to find out more about the disclosures […]

Investors might have been negatively affected by securities broker Ethan Wrenn [CRD: 7889172, Chesterland, Ohio], according to BrokerCheck disclosures. Wrenn worked for Equitable Advisors LLC from April 2, 2024, to May 17, 2024, Key Investment Services LLC from July 12, 2024, to August 13, 2025, and Citizens Securities Inc. from July 31, 2025, to April […]

FINRA suspended securities broker Clayton Kwok Shum [CRD: 4412927, Burlingame, California], and one or more investors complained about him, given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shum worked for Grove Point Investments LLC from December 1, 2020, to January 12, 2023, and Grove Point Advisors LLC from April 1, 2021, to January […]

Investors potentially experienced sales practice violations by securities broker Chad Kristopher Mehle [CRD: 7008517, Irvine, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mehle worked for J.P. Morgan Securities LLC from September 20, 2023, to March 25, 2026, and previously worked for Merrill Lynch from July 5, 2022, to […]

LPL terminated the registration of securities broker Rudy Anguiano [CRD: 5188950, Red Bank, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anguiano worked for LPL Financial LLC in Brea, California, from April 4, 2022, to December 18, 2025, before becoming registered with Alexander Capital LP and Alexander Capital Wealth Management […]