Investors apparently complained about securities broker Alain Alberto Ohayon (also known as Allen Alberto Ohayon) [CRD: 1180975, Melville, New York], based on publicly available information FINRA BrokerCheck. Evidently, Ohayon has been registered with Aegis Capital Corp. since September 17, 2013. Read on to discover more about the disclosures involving this broker. Aegis Capital Corp. Investor […]

Investors reportedly complained about securities broker Edward Terral Hill (also known as Ed Hill) [CRD: 6008804, West End, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hill joined LPL Financial LLC on March 1, 2018, as both a broker and an investment adviser at its West End, North Carolina office. […]

Investors might have sustained losses due to securities broker Thomas Frederick Daniels [CRD: 4161304, Lake Oswego, Oregon], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniels worked for Commonwealth Financial Network from November 18, 2005 to July 31, 2023, and Steward Partners Investment Solutions LLC from July 31, 2023, to March 7, […]

Investors potentially experienced sales practice violations due to securities broker Patricia Holder (also known as Paquita Patricia Holder) [CRD: 2894768, Miami, Florida], according to public information on FINRA BrokerCheck. Evidently, Holder worked for Morgan Stanley from June 1, 2009, to February 22, 2024, and Insigneo Securities LLC and Insigneo Advisory Services LLC since February 23, […]

One or more investors possibly experienced losses because of securities broker Brian Scott Lesley [CRD: 3090243, Starkville, Mississippi], based on publicly available information on FINRA BrokerCheck. Evidently, Lesley has worked for LPL Financial LLC since March 7, 2012, working through branch locations in Starkville, West Point, Louisville, Columbus, and Winona, Mississippi. Read below to learn […]

Investors apparently complained about securities broker Ryan Gregory Caldwell [CRD: 6642132, New York, New York], according to disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Caldwell worked for Morgan Stanley from December 22, 2017, to June 22, 2023. Read below to find out more about the disclosures concerning Caldwell and the allegations that […]

One or more investors possibly experienced losses because of securities broker James Eugene Holmes III [CRD: 2174697, Winston Salem, North Carolina], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Holmes worked for Wells Fargo Clearing Services LLC from August 30, 2019, to October 10, 2024, and for Stephens from March 11, […]

Investors might have sustained losses due to securities broker Gary Andrew Edmonds Jr. [CRD: 3098531, Washington, District of Columbia], based on disclosures on FINRA BrokerCheck. Evidently, Edmonds worked for UBS Financial Services Inc. from April 21, 2011, to April 11, 2022, and has worked for LPL Financial LLC since March 31, 2022. Read on to […]

Investors might have sustained losses due to securities broker Reginald Howell Robinson (also known as Reggie Robinson and Reginal Robinson) [CRD: 1963649, Tampa, Florida], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robinson worked for Corinthian Partners, L.L.C. from August 21, 2017, to March 25, 2022, and IFS Securities from […]