FINRA suspended securities broker Stephen Edward Trask [CRD: 1837307, Mechanicsburg, Pennsylvania], and investors complaint about him, based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Trask worked for Vanderbilt Securities LLC from April 14, 2012, to January 9, 2023. Investors are encouraged to continue reading to learn more about the disclosures involving this […]

Investors potentially incurred losses because of securities broker Gail Castleman Hilder (also known as Gail Patricia Castleman and Gail Patricia Hilder) [CRD: 1155270, Belle Haven, Virginia], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gail Hilder worked for Centaurus Financial Inc. from February 3, 2010, to December 8, 2021. Investors should […]

Investors have reportedly disputed the sales practices of securities broker Mark James Bloom [CRD: 6933619, Atlanta, Georgia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Bloom worked for Avantax Investment Services Inc. and Avantax Advisory Services from March 26, 2021, to September 5, 2025, and later registered with Cetera Wealth […]

Investors might have sustained losses due to securities broker Gary Thomas Hughes [CRD: 1700976, Hermosa Beach, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gary Hughes worked for Concorde Investment Services LLC from June 12, 2013, to July 6, 2022. Investors can see below to learn more about the disclosures involving […]

Investors might have sustained losses due to securities broker Jason Kimber [CRD: 6244188, Logan, Utah], based on disclosures on Financial Industry Regulatory Authority BrokerCheck. Jason Kimber worked for J.W. Cole Financial Inc. beginning May 8, 2018, and later became registered with J.W. Cole Advisors Inc. starting November 24, 2020. The information below summarizes client disputes […]

Investors have reportedly disputed the sales practices of securities broker Richard Michael Ciraco [CRD: 825969, New York, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ciraco has worked for J.P. Morgan Securities LLC since June 6, 2002, and has also been registered as an investment adviser with the same […]

Investors potentially experienced sales practice violations due to securities broker Suzette Lawrence (also known as Suzy Lawrence) [CRD: 2651541, Pasadena, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lawrence has worked for Independent Financial Group LLC since March 15, 2024, and previously was with D.A. Davidson Co. from November 25, 2013, […]

Investors might have sustained losses due to securities broker Thomas Frederick Daniels [CRD: 4161304, Lake Oswego, Oregon], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniels worked for Commonwealth Financial Network from November 18, 2005 to July 31, 2023, and Steward Partners Investment Solutions LLC from July 31, 2023, to March 7, […]

One or more investors possibly experienced losses because of securities broker Brian Scott Lesley [CRD: 3090243, Starkville, Mississippi], based on publicly available information on FINRA BrokerCheck. Evidently, Lesley has worked for LPL Financial LLC since March 7, 2012, working through branch locations in Starkville, West Point, Louisville, Columbus, and Winona, Mississippi. Read below to learn […]