Investors potentially incurred losses because of securities broker Araya Mesfin [CRD: 4828859, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesfin worked for UBS Financial Services Inc. from January 13, 2014, to February 1, 2024, and has been registered with Morgan Stanley since January 18, 2024. Investors are […]

Investors potentially experienced sales practice violations by securities broker Zhi Ying Guan (also known as Jeff Guan and Jeffrey Guan) [CRD: 7000349, San Mateo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zhi Guan worked for Emerson Equity LLC since December 18, 2020. Keep reading for a better understanding about the disclosures […]

Investors have reportedly disputed the sales practices of securities broker Richard James Jirinec (also known as Richard James Jirinee) [CRD: 2580370, Jupiter, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Jirinec has been registered with PHX Financial Inc. since March 5, 2015. Investors are encouraged to Investors are encouraged to continue […]

Investors who were sold private credit funds by FINRA-registered broker-dealers may have sustained significant losses as redemption restrictions, declining net asset values (NAV), and liquidity problems continue to surface across several major products. Broker-dealers including LPL Financial, Ameriprise Financial, Osaic, and Cetera Financial Group have been among the distribution channels for these products. These funds […]