Investors may have incurred losses because of securities broker Michael Walden Brinton (also known as Mike Brinton) [CRD: 1565431, Brentwood, Tennessee], according to public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brinton worked for Zermatt Securities Inc. from November 14, 2019 to November 10, 2020, and Cary Street Partners from February 12, 2016 […]

Investors reportedly complained about securities broker Eyal Farag (also known as Al Farag and as Alan Farag) [CRD: 3072211, Melville, New York], based on disclosures on FINRA BrokerCheck. Eyal Farag worked for Aegis Capital Corp. from September 8, 2014 to January 20, 2023. See the following information to know more about the securities broker’s disclosures. […]

One or more investors possibly experienced losses due to securities broker Christopher Tito Jumalon II [CRD: 6584031, Sandy Springs, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Jumalon worked for Navy Federal Investment Services LLC from October 7, 2019 to August 8, 2024, and for Wells Fargo Clearing […]

Investors potentially experienced sales practice violations because of securities broker Alfred Gerald Block (also known as Archie Block) [CRD: 1192064, Little Silver, New Jersey], according to disclosures on FINRA BrokerCheck. Block joined Buckman Buckman Reid Inc. on February 10, 2017. Read below to learn more about the disclosures involving this broker and the investments that […]

Investors might have sustained losses because of securities broker Wendell Holmes Trapp III (also known as Trey Trapp) [CRD: 6177720, Belden, Mississippi], according to disclosures on FINRA BrokerCheck. Wendell Trapp worked for Edward Jones from March 7, 2017 to March 5, 2024, and for San Blas Securities LLC from May 10, 2024 to June 10, […]

Investors potentially experienced sales practice violations because of securities broker Marc Gregory Minor [CRD: 2230271, East Peoria, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marc Minor worked for Woodbury Financial Services Inc. from April 23, 2003 to January 19, 2024. As of January 19, 2024, he works for Osaic Wealth Inc. […]

Investors may have incurred losses because of securities broker Jason James Walsh [CRD: 5758243, Fort Lauderdale, Florida], according to publicly available information found on FINRA BrokerCheck. Jason Walsh worked for PHX Financial Inc. from June 3, 2022 to June 24, 2024; Network 1 Financial Securities Inc. from May 12, 2020 to May 25, 2022; Joseph […]

Investors might have sustained losses due to securities broker Michael Steven Yarus [CRD: 1543852, Paramus, New Jersey], according to public information reported on FINRA BrokerCheck. Michael Yarus worked for Wells Fargo Clearing Services LLC from May 24, 2012 to February 13, 2023, and most recently for Carter, Terry Company Inc. from February 21, 2023 to […]

Investors potentially experienced sales practice violations because of securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to publicly available information reported on FINRA BrokerCheck. Craig Thistlethwaite worked for Morgan Stanley from June 1, 2009 to February 16, 2023. Read below to learn more about the regulatory action taken against Thistlethwaite. FINRA Fined Craig […]