Investors might have sustained losses because of securities broker Stephen Romney Swensen (also known as Stephen Swenson) [CRD: 2885578, Clearfield, Utah], according to disclosures on FINRA BrokerCheck. It appears that Stephen Swensen worked for J.W. Cole Financial Inc. from May 8, 2018, to July 2, 2018. Keep reading to learn more about the investor disputes […]

Investors potentially experienced losses due to securities broker Mark Gilbert Beesley [CRD: 5362689, Boston, Massachusetts], according to disclosures on FINRA BrokerCheck. Beesley was employed by Wood (Arthur W.) Company Inc. from August 24, 2021, to April 17, 2023, and previously worked for LPL Financial LLC from March 11, 2019, to November 4, 2020. Keep reading […]

FINRA sanctioned securities broker Kittiany Davis Barrios (also known as Kittiany Davis-Barrios) [CRD: 6941840, Cranbury, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Davis Barrios worked for PFS Investments Inc. from March 15, 2019, to February 22, 2024. Read on to learn more about the disclosures concerning Davis Barrios. FINRA Sanctioned […]

FINRA is pursuing an enforcement action against securities broker Christopher James Christensen [CRD: 7680869, Issaquah, Washington], according to disclosures on FINRA BrokerCheck. According to the regulator, Christensen worked for Airlink Markets LLC from October 18, 2023, to March 20, 2024. FINRA has alleged that Christensen failed to provide documents and testimony as part of an […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Peter Joseph Glowacki (also known as Pete Glowacki) [CRD: 1156214, Laguna Niguel, California]. Glowacki previously worked for TCFG Wealth Management, LLC from April 2023 to April 2024, and for RBC Capital Markets, LLC from March 1998 to March 2023. Recent disclosures reveal concerns about […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Stephen Stocks [CRD: 2600346, Paradise Valley, Arizona]. Stocks has a lengthy employment history, including working for Morgan Stanley DW Inc. from 2009 to 2021, and working for Prospera Financial Services Inc. since 2022. However, Stocks has been involved in client disputes and regulatory […]

Soreide Law Group is investigating possible investor claims against Brad Richard Small (CRD: 3173556, Reading, Pennsylvania). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for American Portfolios Financial Services Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Small […]

FINRA sanctioned securities broker Maria Pia Acevez Perez (CRD: 2981386, Miami, Florida). Evidently, the securities broker, who worked for VectorGlobal WMG, disclosed a regulatory action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Allegedly, Perez failed to comply with FINRA in a timely manner concerning an investigation. For more about this regulatory action against Reese, see […]

Soreide Law Group is investigating possible investor claims against securities broker Dominic John Scalzi (CRD: 1689662, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for Deutsche Bank Securities Inc. Allegedly, Scalzi failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Scalzi. Scalzi Barred […]