FINRA barred securities broker Nicholas Edward Stovall [CRD: 5581487, Arden Hills, Minnesota] and an investor complained about him, according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stovall worked for Gradient Securities LLC from July 14, 2009, to July 21, 2023. Keep reading to learn more about the disclosures involving this […]

Investors might have sustained losses due to securities broker Lucas R. Hales [CRD: 6258497, Austin, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lucas Hales worked for Virtu Americas LLC from September 26, 2018, to March 7, 2022, and for Virtu Financial BD LLC from May 11, 2016, to April 9, […]

Financial Industry Regulatory Authority (FINRA) expelled securities broker Bryan Noonan [CRD: 4864372, Scottsdale, Arizona], according to disclosures on BrokerCheck. Evidently, Bryan Noonan worked for Raymond James Financial Services Inc. from July 28, 2021, to March 7, 2024, and Edward Jones from February 9, 2024, to June 26, 2024. Here’s more about Bryan Noonan's disclosures. FINRA’s […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Grant Douglas Johnson [CRD: 2355556, Boca Raton, Florida], considering the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Johnson was registered with Noble Capital Markets Inc. from February 3, 2021, to February 3, 2023. Keep reading to […]

Investors possibly lost money because of securities broker Todd Morris Mezrah [CRD: 2313891, Tampa, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mezrah worked for M Holdings Securities Inc. from December 19, 2001, to May 7, 2020, and then joined Lion Street Financial LLC and Lion Street Advisors LLC, both located […]

Investors might have sustained losses because of securities broker Mitchell Steven Morrison (also known as Mitch Morrison) [CRD: 728484, Newport Beach, California], according to disclosures on FINRA BrokerCheck. Evidently, Morrison worked for Westpark Capital Inc. from August 31, 2020, to July 1, 2022, and from August 14, 2017, to February 20, 2019. He also worked […]

Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through securities broker William Savary [CRD: 1069141, Gig Harbor, Washington]. Evidently, Savary joined Abraham Securities Corporation on August 12, 2021. He previously worked for Spencer-Winston Securities Corporation from October 3, 2019, to July 23, 2020. Keep reading to learn […]

Investors potentially experienced investment losses through securities broker Sara Yasmin Qazi [CRD: 4118177, Beverly Hills, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Qazi joined Raymond James Associates Inc. in Beverly Hills, California, since March 12, 2021. She worked for Morgan Stanley from September 17, 2009, to March 15, 2021. Continue […]

Soreide Law Group is looking into investor claims concerning Sean Donovan Casterline [CRD#: 2212919, Orlando, Florida]. Evidently, Casterline worked for Delta Securities Company LLC (2018 to 2022). He worked for International Assets Advisory LLC (2017 to 2017). The broker disclosed a FINRA sanction on December 30, 2021, for alleged private securities transactions. FINRA Sanctioned Casterline […]