Investors potentially incurred losses because of securities broker Eric Lee Diamond (also known as Rick Diamond) [CRD: 1602991, Wellington, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Eric Diamond worked for Fidelity Brokerage Services LLC from January 10, 2007, to the present, and Strategic Advisers LLC from March 31, 2025, to […]

Investors potentially incurred losses because of securities broker Robert Doyle [CRD: 2309859, Riverhead, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Doyle worked for Axiom Capital Management Inc. from October 21, 2002, to December 31, 2025. See below to learn more about disclosures involving Robert Doyle. Axiom Capital Management […]

Investors might have suffered losses due to financial advisor Jeffrey Douglas Mann [CRD: 2429708, Plano, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jeffrey Mann worked for Douglas Scott Securities Inc. as president from July 1995 to the present, and also worked for Hill Country Exploration Inc. as vice president and financial […]

Investors have reportedly disputed the sales practices of securities broker Buddy Dean Mason [CRD: 1721391, Lakeland, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Buddy Mason worked for LPL Financial LLC from August 29, 2019, to January 29, 2026. See the following information to find out more about disclosures involving Buddy […]

Investors might have sustained losses due to securities broker Shay W. Scruggs [CRD: 4173046, Houston, Texas], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shay Scruggs worked for Rockefeller Financial LLC and Rockefeller Capital Management since June 5, 2020, and previously worked for UBS Financial Services Inc. from May 2, 2014, […]

Investors apparently complained about securities broker Stephen R. Mihalek [CRD: 4403050, Pepper Pike, Ohio], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mihalek worked for J.P. Morgan Securities LLC from October 1, 2012, to January 14, 2024, and has been registered with Morgan Stanley since January 12, 2024. Read on to […]

Investors apparently complained about securities broker James Randall Pringle (also known as JR Pringle) [CRD: 1277121, Indian Harbour Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pringle worked for Wells Fargo Clearing Services LLC from June 22, 2005, to January 13, 2026. Investors should review the information below to learn more […]

Investors potentially incurred losses because of securities broker Matthew Joseph Augugliaro [CRD: 2494865, Huntington, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Augugliaro has worked for Allstate Financial Services LLC starting on September 10, 2014. See the following information to learn more about Augugliaro’s disclosures. Allstate Investor Accused Augugliaro […]

Investors might have sustained losses due to securities broker Joseph Philip Tartaglini Jr. [CRD: 4963465, Reno, Nevada], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tartaglini has been registered with J.P. Morgan Securities LLC since August 18, 2017, where he has served as both a broker and an investment adviser. Investors […]