The Logan Group Securities [CRD: 40259, Roseville, California] was censured and fined $70,000 in a FINRA disciplinary action, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. FINRA found that the firm, listed in the report as Logan, Kevin Christopher dba The Logan Group Securities, willfully violated Reg BI and Form CRS requirements. The firm consented to the sanctions and to the entry of findings without admitting or denying them, according to the Letter of Acceptance, Waiver and Consent (AWC) issued July 27, 2026.

Centaurus Financial, Inc [CRD: 30833, Anaheim, California] entered into a Letter of Acceptance, Waiver and Consent with FINRA addressing supervisory failures tied to variable annuity exchange recommendations, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026.

Investors might have sustained losses due to securities broker Matthew Alfenso Gimmelli (also known as Matt Gimmelli) [CRD: 2740441, Scottsdale, Arizona], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gimmelli has worked for Morgan Stanley since January 6, 2016. Investors are encouraged to continue reading to find out more about Gimmelli’s […]

Investors may have suffered financial harm by securities broker Joel Donald Marks [CRD: 320209, Fredericksburg, Virginia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marks worked for CUNA Brokerage Services Inc. from June 6, 2018, to May 17, 2022, and has worked for Ameriprise Financial Services LLC since May 17, 2022. Investors […]

Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Timothy Neil Tremblay [CRD: 1201542, Santa Barbara, California]. Tremblay has worked for Centaurus Financial Inc. since May 16, 2003, where he worked as both a securities broker and financial advisor. A recent arbitration claim filed about Tremblay involves allegations of unsuitable recommendations of real […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures concerning securities broker Max Joseph Birkinbine [CRD: 6836583, North Oaks, Minnesota]. Birkinbine joined Ausdal Financial Partners Inc. on August 11, 2017. According to public records, Birkinbine has been involved in client disputes containing allegations of unsuitable recommendations. Keep reading to learn more about these issues. Investors Accuse […]