FINRA barred securities broker Anthony Tianfeng Cheng (also known as Tony Cheng) [CRD: 6242405, San Jose, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Cheng worked for Ameritas Investment Company LLC from April 2, 2015, to May 22, 2025. Keep reading to discover more about the regulatory disclosure involving […]

Investors have reportedly disputed the sales practices of securities broker John Charles Wilson II [CRD: 5974073, York, South Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Wilson worked for Edward Jones from October 21, 2011, to September 22, 2025. Keep reading to find out more about the […]

FINRA barred securities broker Harry Harper Warnick [CRD: 6916323, New York, New York], according to public information on FINRA BrokerCheck. Evidently, Warnick worked for Spartan Capital Securities LLC from December 13, 2022, to September 12, 2024. Read below to discover more about the disclosures involving Warnick. FINRA Barred Warnick For Failure To Comply With Investigation […]

Investors apparently complained about securities broker Timothy Richard Yee [CRD: 2492578, Alameda, California], according to publicly available information on FINRA BrokerCheck. Evidently, Yee has been registered with Independent Financial Group LLC since July 8, 2015, and previously worked for LPL Financial LLC from May 30, 2014, to June 10, 2015. See the following summary for […]

FINRA fined and suspended securities broker Justin Casey Funakura [CRD: 5718194, Bakersfield, California], according to public information on FINRA BrokerCheck. Evidently, Funakura worked for Farmers Financial Solutions LLC from October 21, 2009, to October 23, 2023. Read below to learn more about the disclosures involving Funakura. FINRA Sanctioned Funakura For Private Securities Transactions Evidently, on […]

FINRA barred securities broker Jeffrey Alan Arbeit [CRD: 6603428, Austin, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, Jeffrey Arbeit worked for Farmers Financial Solutions LLC from March 11, 2016 to March 7, 2025. Read the following sections to find out more about the disclosures concerning Arbeit’s conduct and FINRA’s subsequent […]

Investors might have sustained losses due to securities broker Joanna Wang (also known as Jian Wang) [CRD: 4056171, Fort Mill, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Wang worked for Pruco Securities LLC from July 22, 2002 to November 14, 2024, and joined LPL Enterprise LLC on […]

FINRA suspended and fined securities broker Jose Antonio Navarro (also known as Tony Navarro) [CRD: 2250454, Los Angeles, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Navarro worked for Independent Financial Group LLC from December 7, 2017 to August 15, 2023, and LPL Financial LLC from September 8, 2009 to December […]

Investors potentially experienced sales practice violations due to securities broker Michael Clifford Graham [CRD: 3263494, El Paso, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Graham worked for LPL Financial LLC from April 24, 2019 to June 23, 2025, and for Principal Securities Inc. from January 26, 2012 to May 2, […]