Investors may have suffered financial harm by securities broker Carlos C. Garcia [CRD: 2635960, Westport, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia has worked for Kovack Securities Inc. and Kovack Advisors Inc. since October 19, 2012. See below to learn more about Garcia’s disclosures. Kovack Investor Accused Garcia Of […]

Investors potentially experienced sales practice violations by securities broker John Patrick Hoile (also known as Jack Hoile) [CRD: 3235563, Raleigh, North Carolina], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hoile has worked for Wells Fargo Clearing Services and Wells Fargo Advisors since October 6, 2017; the disclosures also identify Equitable […]

Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]

Investors potentially experienced sales practice violations by securities broker Mark Aaron Atchity [CRD: 2530342, Laguna Niguel, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Atchity has worked for JCC Capital Markets LLC since August 16, 2012, Cabin Securities Inc. since September 16, 2013, and Cabin Advisors LLC since July 2, […]

Investors potentially incurred losses because of securities broker Mingqi Jennifer Li (also known as Jennifer Mingqi Li) [CRD: 4871851, White Plains, New York], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Li worked for Emerson Equity LLC from May 8, 2019, to July 20, 2023. Li has been registered with Arkadios […]

Investors apparently complained about securities broker Kenneth David Kohn (also known as Ken Kohn) [CRD: 1575332, Melville, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kenneth Kohn has been registered as a securities broker with Equitable Advisors LLC since June 1, 2005, and as a financial advisor with Equitable Advisors […]

Investors might have sustained losses due to securities broker Darryl Joseph Hall [CRD: 4185048, Elk Grove, California], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hall worked for CUSO Financial Services L.P. from July 1, 2002, through May 15, 2025, and joined LPL Financial LLC on May 15, 2025. Investors are […]

Investors apparently complained about securities broker Alex Boyd Mathis [CRD: 2235598, Westlake Village, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mathis worked for Western International Securities Inc. from November 16, 2011, through June 5, 2025, and became registered with LPL Financial LLC beginning June 5, 2025. Investors are […]

Investors apparently complained about securities broker Kirk Mitchell [CRD: 4590715, Seattle, Washington], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Balin worked for Householder Group Estate Retirement Specialists from December 11, 2013, to September 11, 2025, Gateway Wealth Partners LLC from September 8, 2025, to February 6, 2026, and has been […]