Hugh Franklin Hale III (CRD: 4652329), a former securities broker in Savannah, Georgia, is involved in a pending client arbitration over alleged investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Hale worked for Capital Investment Group Inc. from September 16, 2016, to July 29, 2021. He also worked for Kestra Investment Services […]

Former securities broker Gregory Weido (CRD: 5664093) of Cocoa Beach, Florida, is named in a client arbitration claim involving alleged investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Weido was registered with PFS Investments Inc. from January 19, 2010, to December 31, 2023. Here’s what the dispute involves and where it stands. […]

Garrick Paolo Montenegro (CRD: 2882898) is a securities broker based in New York, New York, who has worked for UBS Financial Services Inc. since June 24, 2011. Disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck describe investor allegations involving possible investment losses. Here is what the dispute involves and how Montenegro has responded. UBS Clients […]

Kevin Joseph Sierzant (CRD: 7223312), a former securities broker based in Newport Beach, California, worked for Merrill Lynch from February 18, 2020, to May 27, 2026. His Financial Industry Regulatory Authority (FINRA) BrokerCheck record includes an employment separation disclosure that may be relevant to investors who believe they were harmed because of his conduct. Here […]

FINRA sanctioned William Nicholas Pugh (CRD: 4855771), a former securities broker in Los Angeles, California. Pugh worked for Columbia Capital Securities Inc. from August 30, 2021, to September 15, 2024. His Financial Industry Regulatory Authority (FINRA) BrokerCheck record shows that the regulatory action against him concerned private securities transactions. Here is a closer look at […]

FINRA fined and suspended Josiah D. Jennings (CRD: 6031164), a former securities broker in Los Angeles, California. Jennings worked for Columbia Capital Securities Inc. from October 4, 2021, to September 15, 2024, and his FINRA BrokerCheck disclosures describe a regulatory matter involving private securities transactions. Here is how the case unfolded. FINRA Fined And Suspended […]

Investors potentially incurred losses because of securities broker Chad Anthony Schneider [CRD: 5479256, Greenwood Village, Colorado], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schneider worked for Strong Capital Markets LLC from January 15, 2024, through July 6, 2026. Investors are encouraged to continue reading to find out more about the disclosures […]

FINRA barred securities broker Alan K. Ngo [CRD: 4273116, Freehold, New Jersey], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ngo worked for PFS Investments Inc. from January 2, 2003, to November 25, 2025. See below to learn more about Ngo’s disclosures. FINRA Sanctioned Ngo For Failing To Comply During Investigation […]

Investors have reportedly disputed the sales practices of securities broker Buddy Dean Mason [CRD: 1721391, Lakeland, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Buddy Mason worked for LPL Financial LLC from August 29, 2019, to January 29, 2026. See the following information to find out more about disclosures involving Buddy […]