Texas State Securities Board sanctioned securities broker Logan D. Cox [CRD: 6927720, Overland Park, Kansas], and investors complained about him, given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Logan Cox worked for Arete Wealth Management LLC and Arete Wealth Advisors LLC from June 30, 2020, to May 1, 2025, before […]

Investors potentially incurred losses because of securities broker Daryl Howard Powell [CRD: 4717769, Sacramento, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Powell has been registered with Charles Schwab Co. Inc. since August 28, 2007, as a broker, and since June 11, 2008, as an investment adviser at its […]

One or more investors apparently complained about securities broker Pasquale Evangelista (also known as Pat Evangelista) [CRD: 2443782, Naples, Florida], based on disclosures on FINRA BrokerCheck. Evidently, Pasquale Evangelista has worked for Raymond James Associates Inc. since March 19, 2010, serving both as a broker and investment adviser at their Naples, Florida branch. See the […]

The Financial Industry Regulatory Authority (FINRA) named eight products it will be monitoring in 2015. These are products which could lead to risks for investors, many of whom do not know enough about the products before investing in them. FINRA feels brokers also need to learn more about these products before they sell them to […]