Investors might have sustained losses through securities broker William David Carlton (also known as Bill Carlton) [CRD: 1215541, Bellevue, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Carlton worked for Cetera Advisors LLC from September 8, 2022, to January 17, 2024, and for First Allied Securities Inc. from December 9, 2008, to September 8, 2022. […]

Investors reportedly complained about securities broker Rajesh Markan [CRD: 4553309, Flower Mound, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Markan worked for Merrill Lynch from May 8, 2009 to November 4, 2022, and for Hilltop Securities Inc. from October 5, 2022 to August 12, 2024. Read on to know more about […]

Investors might have sustained losses due to securities broker Richard G. Michalski [CRD: 4588706, New York, New York], according to disclosures on FINRA BrokerCheck. Evidently, Michalski has worked for Laidlaw Company (UK) Ltd. since October 27, 2010. Below, you can find important information about what investors allege took place. Michalski Involved In Investor Dispute Regarding […]

Investors apparently complained about securities broker Julie Anne Darrah (also known as Julie Banuelos) [CRD: 2102014, Orcutt, California], according to disclosures on FINRA BrokerCheck. Evidently, Julie Darrah worked for Mutual Securities Inc. from June 28, 2013, to January 4, 2022. She also held an ownership role in Vivid Financial Management Inc. during her financial industry […]

Investors potentially experienced losses because of securities broker Julie Anne Darrah (also known as Julie Banuelos) [CRD: 2102014, Orcutt, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Julie Darrah worked for Mutual Securities Inc. from June 28, 2013, to January 4, 2022. Here’s more about the securities broker’s disclosures. Mutual Securities Inc. […]

Multiple securities regulators have barred securities broker Andrew M. Komarow [CRD: 5838564, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Andrew Komarow worked for LPL Financial LLC from April 26, 2016, to December 22, 2022, and for Royal Alliance Associates Inc. from December 13, 2022, to January 4, 2023. […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Dustin Paul Shafer [CRD: 4198962, Springfield, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dustin Shafer worked for Newbridge Securities Corporation from September 4, 2019, to November 4, 2020, and for Money Concepts Capital […]

Investors might have sustained losses due to Lina Maria Garcia [CRD: 4447599, Miami, Florida], and SEC took legal action against the securities broker, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia worked for Insigneo Securities LLC from April 21, 2010, to September 9, 2021. Keep reading to learn more about Garcia’s disclosures […]

Some investors have potentially experienced damages because of securities broker Sean Michael Kane [CRD#: 5778281, York, Pennsylvania], according to disclosures through FINRA and SEC. Evidently, Kane worked with Cambridge Investment Research Inc. from March 25, 2021, to March 30, 2023, and with Waddell Reed from October 2, 2018, to March 3, 2021. Read on to […]