Zachary Cuyler Green, also known as Zach Green (CRD: 5714566), is a securities broker based in Raleigh, North Carolina. A client has claimed investment losses in a complaint involving Green, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Green worked with Merit Financial Advisors since May 8, 2025, and Purshe Kaplan Sterling Investments since May […]

Securities broker Richard Allen Ganim Jr., also known as Rick Ganim (CRD: 2447068), is based in Broadview Heights, Ohio, and is the subject of a client complaint involving alleged investment losses. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures, Ganim has worked for LPL Financial LLC since February 15, 2017, and Stratos Wealth Partners, […]

Brent Thomas O'Mara (CRD: 4260408), a former securities broker in Omaha, Nebraska, is the subject of a client complaint involving investment advice and potential investor losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. He worked with Securities America Inc. from November 4, 2016, to December 31, 2020, and WealthPlan Partners Inc. was his […]

A client accused former securities broker Abebi Bayo Stafford (CRD: 6550592) of unauthorized trading that may have caused investment losses, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures. Stafford worked as a broker with Ameriprise Financial Services LLC in New Brighton, Minnesota, from May 2016 to October 2026, and has worked for the firm […]

Securities broker Charles KC Chan (CRD: 2894827), of Lexington, Kentucky, is the subject of a client complaint involving possible investment losses, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chan worked for Avantax Investment Services from October 2, 1997, to September 5, 2025, and Avantax Advisory Services from July 29, 2024, to September […]

Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]

Travis Alan Tom [CRD: 4762216, Littleton, Colorado] might have caused investors to sustain losses, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tom worked for Wells Fargo Clearing Services LLC from January 3, 2011, to April 7, 2026. Continue reading to discover more about Tom’s disclosures. Wells Fargo Client Accused Tom Of Unauthorized […]

Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]

Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]