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 […]

Investors potentially experienced sales practice violations by securities broker Jason Bryce Vanclef [CRD: 5096529, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jason Vanclef worked for Westpark Capital Inc. from October 9, 2017, to January 27, 2020, and later associated with Delta Investment Management LLC from November 26, 2018, to […]

Investors potentially experienced sales practice violations by securities broker Derek Wilhelm Malone [CRD: 5495233, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Derek Malone has been registered with Osaic Institutions Inc. (also known as Infinex Investments) since July 1, 2016, where he worked as a broker and investment […]

Investors potentially incurred losses because of securities broker Kevin Todd Canterbury [CRD: 4939385, Scottsdale, Arizona], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Canterbury worked for Coastal Equities Inc. from September 26, 2012, to August 27, 2020. Keep reading to learn more about Canterbury’s disclosures. Coastal Equities Investor Accused […]

Investors have reportedly disputed the sales practices of securities broker Bradley Scott Ford (also known as Brad Ford) [CRD: 1649604, Evansville, Indiana], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Ford worked for Madison Avenue Securities LLC beginning on October 9, 2019, as a broker and October 13, […]

Investors apparently complained about securities broker Joyce An Thomas (also known as Cho Ching An) [CRD: 2713664, Diamond Bar, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Thomas has worked for Independent Financial Group LLC since October 8, 2015. See below to find out more about the disclosures involving […]