Investors may have suffered financial harm by securities broker Tracy Lynn Helmer (also known as Tracy Lynn Poole) [CRD: 4803908, Evansville, Indiana], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Helmer has been registered with LPL Financial LLC as a securities broker since November 12, 2012, and as a financial advisor since […]

MARILEE ANN HILL (MARILEE A HILL, MARILEE ANN HANSEN) has been registered as a broker with EMERSON EQUITY LLC of San Mateo, California, since 3/26/2020.  She was previously registered with PRIMEX of Christiansted, St. Croix, VI, from 10/13/2014 - 04/20/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MARILEE A HILL has […]

Investors apparently complained about securities broker Robert Harold Sweet (also known as Bob Sweet) [CRD: 4090608, El Paso, Texas], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Sweet joined Independent Financial Group, LLC as a broker on February 22, 2016, and as an investment adviser on March 23, 2016. Read below […]

ALEXANDER INVESTMENT SERVICES CO. was censured and fined $25,000.00 as part of a settlement with the Financial Industry Regulatory Authority (FINRA). Their main office location is in Louisville, Kentucky. Without admitting or denying FINRA’s findings, ALEXANDER INVESTMENT SERVICES consented to the sanctions and to the entry of findings that it allegedly failed to comply with […]

JEFF W WEBB is currently registered as a broker since 5/5/2017 with EMERSON EQUITY LLC of San Mateo, California and as an investment advisor with EMERSON EQUITY of Denver, Colorado, since 11/5/2019. JEFF W WEBB was previously listed as an investment advisor with KINGSTONE CAPITAL PARTNERS TEXAS, LLC of Denver, Colorado from 01/05/2018 - 01/02/2020.  […]

SIOBHAN M SHAUGHNESSY (SIOBHAN M BRADY, SIOBHAN MARIE SHAUGHNESSY, SIOBHAN SHAUGHNESSY) is currently registered with UBS FINANCIAL SERVICES INC of Purchase, New York. SIOBHAN M SHAUGHNESSY has been registered as a broker with UBS since 9/22/2008, and as a financial advisor since 10/26/2021. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SIOBHAN […]