Investors potentially experienced sales practice violations by securities broker Gary Bryan Frisch [CRD: 5037164, Surprise, Arizona], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frisch worked for Avantax Investment Services Inc. and Avantax Advisory Services from October 25, 2019, through September 5, 2025, and has been registered with Cetera Wealth Services […]

Investors might have sustained losses due to securities broker Carter J. Damm [CRD: 8101686, Lincoln, Rhode Island], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Damm has been registered with Merrill Lynch since August 12, 2025, as a securities broker and since November 13, 2025, as a financial advisor. Keep […]

Investors might have been negatively impacted by securities broker Edward Sanford Pegram IV (also known as Edward Sandford Pegram IV and Sandy Pegram) [CRD: 721375, Wellesley Hills, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Edward Pegram was registered with RBC Capital Markets LLC from July 22, 2020, to May 1, 2026. […]

Investors might have sustained losses due to securities broker Gregory Rock Erekson [CRD: 5168632, St. Louis, Missouri], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Erekson has been associated with Edward Jones in St. Louis, Missouri, serving as a securities broker since August 31, 2006, and as a financial advisor since March […]

Investors apparently complained about securities broker Kenneth David Kohn (also known as Ken Kohn) [CRD: 1575332, Melville, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kenneth Kohn has been registered as a securities broker with Equitable Advisors LLC since June 1, 2005, and as a financial advisor with Equitable Advisors […]

FINRA aims to bar securities broker James Joseph Lukezic [CRD: 4284800, North Miami Beach, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lukezic has been associated with Old Slip Capital Management Inc. since January 25, 2019, and Old Slip Registered Investment Advisors LLC since February 27, 2019. Previously, he was associated with […]

FINRA brought an enforcement action against securities broker John Demetrios Polemis (also known as John Dimitri Polemis) [CRD: 4270012, New York City, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polemis worked for Park Avenue Securities LLC from April 21, 2022, to March 1, 2024, and Stirlingshire Investments from March 18, […]

FINRA fined securities broker Jennifer Lillian Basey (also known as Jennifer Lillian Hilliard) [CRD: 4730054, McDonough, Georgia], and investors complained about her, based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hilliard worked for Stifel Nicolaus from January 13, 2020, through November 24, 2023, Edward Jones from January 13, 2004, through December […]

Investors apparently complained about securities broker Alex Boyd Mathis [CRD: 2235598, Westlake Village, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mathis worked for Western International Securities Inc. from November 16, 2011, through June 5, 2025, and became registered with LPL Financial LLC beginning June 5, 2025. Investors are […]