Investors might have sustained losses due to securities broker Robert Anders Herje [CRD: 1496687, Plymouth, Minnesota], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Herje worked for Northland Securities Inc. from September 30, 2002, to December 16, 2025, and Northland Asset Management from January 9, 2014, to December 16, 2025, before joining […]

Investors have reportedly disputed the sales practices of securities broker Richard James Roberts (also known as Rick Roberts) [CRD: 2145874, Laguna Niguel, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Roberts has worked for TCFG Wealth Management LLC since December 11, 2012. Read on to find out more […]

Investors apparently complained about securities broker Damon Merrill [CRD: 4011748, Hillsboro, Oregon], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mapes worked for Cetera Investment Services LLC from February 28, 2013, to March 20, 2020, and from June 10, 2020, to December 21, 2020, and he later registered with LPL Financial […]

Investors potentially experienced sales practice violations by securities broker Robert D. Alegria [CRD: 5978340, Miami, Florida], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Alegria has been registered with Morgan Stanley since January 12, 2015, as a securities broker and since January 14, 2015, as a financial advisor. See the following […]

Investors potentially incurred losses because of securities broker Dustin Allen Smith [CRD: 2803156, Naples, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith worked for RBC Capital Markets LLC from April 1, 2015, to January 29, 2025, and he has been registered with Citizens Securities Inc. since January 17, 2025, […]

Investors potentially experienced sales practice violations by securities broker Igor Harlap (also known as Gary Harlap) [CRD: 3125590, Huntingdon Valley, Pennsylvania], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Harlap has been registered with UBS Financial Services Inc. since November 18, 1998, and he has also been registered as a financial […]

Investors apparently complained about securities broker Shawn Christian Everett [CRD: 4653270, Estero, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Everett worked for Cetera Advisor Networks LLC from August 1, 2014, to December 12, 2023, and Cetera Investment Advisers LLC from May 12, 2023, to December 12, 2023, and he […]

Investors potentially experienced sales practice violations by securities broker Kent Eric Engelke [CRD: 1421164, Glen Allen, Virginia], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kent Engelke has worked for Capitol Securities Management Inc. since August 22, 2008. Investors are encouraged to continue reading to discover more about Engelke’s disclosures. Capitol […]

Investors potentially experienced sales practice violations by securities broker Timothy Jan Vanlohuizen (also known as Tim Vanlohuizen) [CRD: 2166867, Coeur d'Alene, Idaho], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Vanlohuizen worked for SagePoint Financial Inc. from October 31, 2005, to September 1, 2023, and later for Osaic Wealth Inc. from […]