Investors might have sustained losses due to securities broker Joe Bryan Hall [CRD: 833873, Glendale, California], according to disclosures on FINRA BrokerCheck. Evidently, Hall worked for Berthel Fisher Company Financial Services Inc. from July 31, 2006, to April 6, 2021, and later for Cambridge Investment Research Inc. from April 5, 2021, to April 13, 2022. […]

Investors might have sustained losses due to securities broker Mikyung Oh (also known as Mikee Oh) [CRD: 2403670, Greenwood Village, Colorado], according to disclosures on FINRA BrokerCheck. Evidently, Oh worked for LPL Financial LLC from November 18, 2011, to December 31, 2019. Keep reading to learn more about the disclosures involving Oh. LPL Financial LLC […]

One or more investors possibly experienced losses because of securities broker Jie Zheng [CRD: 4187935, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zheng previously worked for Allied Millennial Partners LLC from January 17, 2014 to January 3, 2020. Read the following sections to know more about Zheng’s client […]

Investors may have incurred losses because of securities broker Joel Floyd Woods [CRD: 1470780, Fort Worth, Texas], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joel Woods worked for LPL Financial LLC from March 26, 2021 to December 16, 2024; Concorde Investment Services LLC from November 23, 2016 to March 26, […]

Investors may have incurred losses due to securities broker Stuart Jay Spivak [CRD: 1883651, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Spivak joined Centaurus Financial Inc. on May 29, 2008, as a securities broker and on June 16, 2008, as a financial advisor. Keep reading to understand more about the […]

Investors potentially experienced sales practice violations due to securities broker Anthony Stephen Jovanovich (also known as Tony Jovanovich) [CRD: 2948544, Elgin, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anthony Jovanovich worked for Wintrust Investments LLC from June 1, 2012 to January 23, 2025. He currently works for LPL Financial LLC as […]

Investors might have sustained losses due to securities broker Nicholas R. Biddle (also known as Nick Biddle) [CRD: 4649317, St. Pete Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Biddle worked for FSC Securities Corporation from October 17, 2017, to November 3, 2023, before working with Osaic Wealth, Inc. on November […]

Investors might have sustained losses due to securities broker Mark Norman Miller [CRD: 1142801, White Bear Lake, Minnesota], based on publicly available information reported on FINRA BrokerCheck. Mark Miller has worked with LPL Financial LLC since February 8, 2010, and has also served as an investment adviser with the same firm since April 26, 2011. […]

Investors potentially experienced sales practice violations because of securities broker George Gomez Sr. [CRD: 2156124, El Paso, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gomez Sr. worked for LPL Financial LLC starting January 19, 2017, and works for Strategic Financial Concepts LLC since September 9, 2019. See the following information to […]