Investors potentially incurred losses because of securities broker Garett I. Engel [CRD: 7708570, New York, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Engel worked for Morgan Stanley from April 28, 2023, to the present as a securities broker and from May 25, 2023, to the present as […]

Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]

Investors have reportedly disputed the sales practices of securities broker Christopher A. Pesce [CRD: 3274301, Melville, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pesce worked for UBS Financial Services Inc. from October 18, 2010, to November 21, 2025, before joining Wells Fargo Advisors Financial Network LLC and Wells Fargo […]

Investors potentially experienced sales practice violations by securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sandy Leff worked for Carter Terry Company Inc. beginning on October 6, 2016, as a securities broker and beginning on October 21, 2016, as a financial advisor. Investors are […]

Investors potentially incurred losses because of securities broker Frederick Earl Hohensee (also known as Fred Hohensee and Freddy Hohensee) [CRD: 1431948, Elkhorn, Wisconsin], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frederick Hohensee has worked for Abacus Investments Inc. since March 3, 1994, and Hohensee Financial Services Inc. since February […]

Texas State Securities Board sanctioned securities broker Logan D. Cox [CRD: 6927720, Overland Park, Kansas], and investors complained about him, given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Logan Cox worked for Arete Wealth Management LLC and Arete Wealth Advisors LLC from June 30, 2020, to May 1, 2025, before […]

Investors apparently complained about securities broker Ian Christopher McElreath [CRD: 4754189, Atlanta, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McElreath worked for Ameritas Investment Company LLC from November 26, 2019, to April 6, 2021; 20/20 Capital Management, Inc from January 17, 2020, to April 20, 2021; Emerson Equity […]

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 […]