Investors have reportedly disputed the sales practices of securities broker Jan Peter Cummins [CRD: 718836, Radnor, Pennsylvania], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jan Cummins worked for Janney Montgomery Scott LLC from January 17, 2003, to the present as a securities broker and from August 8, 2005, to the present […]

Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, before becoming associated with Huntleigh Securities Corporation and Huntleigh Advisors […]

Investors apparently complained about securities broker Joseph John Badolato [CRD: 4769496, Delmar, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joseph Badolato has worked for Key Investment Services LLC since January 12, 2016, as a securities broker and since March 26, 2021, as a financial advisor. Read on to find […]

Investors apparently complained about securities broker Phillip Wayne Jones [CRD: 2445213, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones worked for Merrill Lynch beginning on February 1, 1994, as a broker, and has also been registered with the firm as an investment adviser since February 23, 1994. Investors should continue […]

Investors potentially incurred losses because of securities broker Kerrie A. Coe (also known as Kerrie Cobb and Kerrie Lemon) [CRD: 4951159, Indianapolis, Indiana], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Coe worked for Cetera Investment Services LLC and Cetera Investment Advisers LLC from January 21, 2014, to September 17, 2024, and […]

Investors potentially incurred losses because of securities broker Vanessa A. Sopke (also known as Vanessa A. Gerlach) [CRD: 4967464, Indianapolis, Indiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sopke worked for Cetera Investment Services LLC from October 1, 2015, to August 3, 2022. Keep reading to find out more […]

Investors apparently complained about securities broker Joseph Brian Glaze (also known as J. Brian Glaze) [CRD: 5373140, Graham, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Glaze previously worked for LPL Financial LLC from December 14, 2012, to September 2, 2022; Avantax Investment Services Inc. and […]

Investors potentially experienced sales practice violations due to securities broker Larry Milton Ware [CRD: 3053841, Graham, North Carolina], according to disclosures on FINRA BrokerCheck. Evidently, Larry Ware worked for Avantax Advisory Services and Avantax Investment Services from September 1, 2022, to September 5, 2025; LPL Financial LLC from January 12, 2012, to September 2, 2022; […]

Investors might have sustained losses because of securities broker Stephen Thomas Kerutis (also known as Steve Kerutis) [CRD: 2345517, Loudon, Tennessee], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kerutis has worked for Cetera Advisors LLC since November 21, 2023, and for Cetera Investment Advisers LLC since March 21, 2024. Previously, […]