FINRA sanctioned securities broker James Elroy Burton Jr. [CRD: 5051310, Bakersfield, California], and investors complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Burton worked for Farmers Financial Solutions LLC from July 27, 2007, to October 20, 2023. Read on to find out more about Burton’s disclosures […]

Investors apparently complained about securities broker Jonathan Gabriel Gazdak [CRD: 5678294, Red Bank, New Jersey], according to publicly available information on FINRA BrokerCheck. Evidently, Gazdak has been registered with Alexander Capital L.P. since May 13, 2014. Read on for details about the disclosures involving Gazdak and the allegations raised about him. Alexander Capital L.P. Investor […]

Investors have reportedly disputed the sales practices of securities broker Michael Jerome Lickiss Jr. [CRD: 5135936, Danville, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Lickiss worked for Purshe Kaplan Sterling Investments from July 3, 2024, to January 13, 2025; Arkadios Capital from December 6, 2021, to July 5, […]

Investors apparently complained about securities broker Sanford Allen Schmidt (also known as Sandy Schmidt) [CRD: 1163559, Deerfield, Illinois], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schmidt has been employed with Catalyst Wealth Management since November 30, 2016, and The Leaders Group Inc. since April 13, 2023, with previous associations […]

Investors might have sustained losses due to securities broker Surya Metzler [CRD: 4558292, Newport Beach, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Surya Metzler has worked for Centaurus Financial Inc. since November 1, 2011, and Newport Wealth Advisors Inc. since January 9, 2018. Prior to this, he was also registered with […]

SEC brought a complaint against John Nicholas Matson [CRD: 1796541, Manhattan Beach, California], and LPL Financial LLC investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matson worked for LPL Financial LLC from November 2, 2017, to December 7, 2022, and for Ameriprise Financial Services Inc. from June 22, […]

Financial Industry Regulatory Authority (FINRA) sanctioned David Victor Tall (also known as Dave Tall) [CRD: 1314547, Costa Mesa, California], according to disclosures on BrokerCheck. Evidently, David Tall worked for Osaic Wealth Inc. from September 1, 2023, to December 19, 2023, and Sagepoint Financial Inc. from October 31, 2005, to September 1, 2023. Keep reading to […]

Investors possibly experienced losses due to securities broker Jack Robert Thacker Jr. [CRD: 2754773, Nashville, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jack Thacker worked for Realta Equities Inc. and Realta Investment Advisors Inc. from September 20, 2023, and September 22, 2023, respectively. Here’s more about the securities broker’s disclosures. […]

Soreide Law Group is presently investigating potential claims on behalf of investors who lost money due to Ronald Joseph Sagasser (also known as Ron Sagasser) (CRD: 5400879, Miamisburg, Ohio). Notably, Sagasser worked for W&S Brokerage Services, Inc. from May 11, 2018, to July 18, 2022. Evidently, FINRA sanctioned Sagasser on July 6, 2023. Moreover, Sagasser […]