One or more investors apparently complained about securities broker Terry Eugene Harris [CRD: 2653757, Rolla, Missouri], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Terry Harris worked for Money Concepts Capital Corp from October 3, 2011, to December 31, 2019. Below, you can find important information about Terry Harris’s disclosures. Money Concepts […]

One or more investors apparently complained about securities broker Todd William Walker [CRD: 2503388, Biloxi, Mississippi], according to disclosures on FINRA BrokerCheck. Evidently, Todd Walker has been registered with Centaurus Financial Inc. at its Centennial, Colorado, branch since January 12, 2005, and registered as an investment adviser with the same firm since January 9, 2012. […]

Investors potentially experienced losses due to securities broker Hugh James McGuire [CRD: 1858293, Collingswood, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hugh McGuire worked for Hornor, Townsend Kent LLC from April 11, 2003, to August 2, 2022. Below, you can learn more about McGuire’s disclosures and a […]

Investors potentially experienced sales practice violations due to securities broker Peter Allen Barry [CRD: 2235548, Los Angeles, California], based on disclosures through FINRA’s BrokerCheck. Evidently, Peter Barry has been registered with Raymond James Associates Inc., located at 10250 Constellation Blvd. Suite 850, Los Angeles, California, since April 18, 2018, and has also been associated with […]

Investors potentially experienced sales practice violations because of securities broker Jeffrey Steinberg (also known as Jeff Steinberg) [CRD: 2610793, Port Saint Lucie, Florida], according to disclosures through FINRA’s BrokerCheck. Steinberg has been registered with Avantax Investment Services Inc. since October 25, 2019; Avantax Planning Partners Inc. since June 29, 2022; and Avantax Advisory Services since […]

Investors potentially experienced sales practice violations because of securities broker Jessica Healy [CRD: 6589558, Chicago, Illinois], based on disclosures through FINRA’s BrokerCheck. Evidently, Healy worked for Metropolitan Capital Investment Banc Inc. from February 16, 2016, to December 20, 2023. Below, you can discover more about the securities broker’s disclosures and what they may mean for […]

Investors potentially experienced sales practice violations because of securities broker Richard Kevin Kubiak [CRD: 2856073, Clarence Center, New York], based on disclosures through FINRA’s BrokerCheck. Kubiak has been registered with Ameriprise Financial Services LLC at its Cheektowaga, New York location since February 24, 1997, and at the firm’s Clarence Center, New York location since June […]

If you’ve invested in Four Springs Capital Trust and found yourself facing unexpected losses, you’re not alone. This real estate investment trust (REIT) has drawn attention recently for a series of decisions that have left many investors questioning the soundness of the recommendation they received from financial advisors. Withdrawn IPO Plans Four Springs Capital Trust […]

Investors might have sustained losses because of securities broker Shaun B. Floresca [CRD: 4758697, Chicago, Illinois], according to disclosures on FINRA BrokerCheck. Apparently, Shaun Floresca has been registered with LPL Financial LLC since November 12, 2012. Keep reading to learn more about Floresca’s client dispute disclosures and pending arbitration matters. LPL Financial LLC Investor Accused […]