Investors reportedly may have incurred losses due to securities broker Stephen Herman Wedel (also known as Steve Wedel) [CRD: 1221992, Naples, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Wedel has worked for Private Client Services LLC since June 4, 2018, and RFG Advisory LLC since August 11, 2014. Previously, he worked […]

Investors might have sustained losses due to securities broker Phillip Chien-Cheng Kao [CRD: 4654233, San Rafael, California], according to disclosures on FINRA BrokerCheck. Evidently, Kao worked for Portsmouth Financial Services from August 2, 2021, to December 31, 2024, and Woodbury Financial Services Inc. from September 4, 2015, to August 4, 2021. He is currently registered […]

Investors might have sustained losses because of securities broker Stephen Edson Bush (also known as Steve Bush) [CRD: 1898917, Weddington, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Bush has worked for Capital Investment Group Inc. since August 31, 2018, and Capital Investment Advisory Services LLC since September 1, 2018. Previously, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Stephen James Sperling (CRD: 3061073, Palatine, Illinois). Sperling worked for Wintrust Investments LLC from 2007 to 2024 and previously held positions at LaSalle Financial Services, Harris InvestorLine, and Harris Investors Direct. Recent disclosures highlight concerns regarding Sperling’s conduct, including client disputes related to unsuitable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Roy Paige [CRD: 1726609, Vero Beach, Florida]. James Paige worked in the securities industry for 36 years, spanning four firms. Since October 31, 2008, he has been employed by Wells Fargo Clearing Services, LLC and Wells Fargo Advisors in Vero Beach, Florida. Recent […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker William Robert Young (also known as Bill Young) [CRD: 4787488, Bethesda, Maryland]. Young’s employment history shows he worked for H. Beck Inc. from February 19, 2010, to October 17, 2017, and worked for Niagara International Capital Limited from October 16, 2017, to June 15, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Timothy Neil Tremblay [CRD: 1201542, Santa Barbara, California]. Tremblay has worked for Centaurus Financial Inc. since May 16, 2003, where he worked as both a securities broker and financial advisor. A recent arbitration claim filed about Tremblay involves allegations of unsuitable recommendations of real […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Dan Edward Droeg (also known as Dan Edwards Droeg) [CRD: 1509210, Mesa, Arizona]. Droeg worked for United Planners Financial Services of America from August 12, 2021, to October 11, 2021, and previously worked for firms such as H. Beck and Sagepoint Financial. Keep reading […]

Investors complained about financial advisor / securities broker Jason A. Shelby [CRD: 4589734, Memphis, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jason Shelby worked for FSC Securities Corporation from October 19, 2006, to November 3, 2023, and has worked for Osaic Wealth Inc. since November 3, 2023. Keep reading to […]