Investors potentially incurred losses because of securities broker Matthew David Copley [CRD: 6247665, San Diego, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Matthew Copley has worked with several firms during his career, including Emerson Equity LLC beginning January 28, 2020, Copley Financial Group Inc. starting June 15, 2016, and […]

Investors potentially experienced sales practice violations by securities broker Shannon Dwain Moore [CRD: 2934682, Jefferson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shannon Moore has worked for LPL Financial LLC since October 11, 2011, where he has been registered while serving clients in Tennessee. Investors should continue reviewing the information […]

Investors apparently complained about securities broker David Joseph Perrotto [CRD: 4960240, Webster, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David J. Perrotto worked for Cetera Advisors LLC from March 1, 2012, to November 3, 2025, and Cetera Investment Advisers LLC from March 22, 2024, to November 3, 2025, […]

Investors have reportedly disputed the sales practices of securities broker Austin Bowlin [CRD: 5674142, Portland, Oregon], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Austin Bowlin worked for Aurora Securities from April 27, 2021, to the present, and Secure Asset Management LLC from May 4, 2021, to the present, after previously […]

Investors apparently complained about securities broker Scott Edward Oliphant [CRD: 4551455, Columbus, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Oliphant worked for CFD Investments Inc. from November 14, 2005, to December 19, 2019, Creative Financial Designs Inc. from October 22, 2019, to December 19, 2019, Cetera Advisors LLC from […]

Investors might have sustained losses due to securities broker David John Segarra [CRD: 4482059, Las Vegas, Nevada], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Segarra worked for LPL Financial LLC beginning January 22, 2024, and previously worked for Centaurus Financial Inc. from October 29, 2008, to January 19, 2024. Investors can see […]

Investors apparently complained about securities broker Karen Elizabeth Briggs [CRD: 1100275, Edmonds, Washington], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Briggs worked for LPL Financial LLC from November 6, 2013, to December 20, 2022. Investors should continue reading to learn more about the disclosures involving Briggs. LPL Financial Investor Accused […]

Investors potentially incurred losses because of securities broker Peter Hill (also known as Pete Hill) [CRD: 2432123, Des Moines, Iowa], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hill worked for Voya Financial Advisors Inc. from January 1, 2004, to May 11, 2020, and later registered with Cambridge Investment Research Inc. […]

Investors might have sustained losses due to securities broker Roger William Bowlin [CRD: 1905652, Kirkland, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Bowlin worked for Aurora Securities beginning April 30, 2021, and also served as an investment adviser with Secure Asset Management LLC starting June 4, 2021; previously, he was registered […]