Investors potentially experienced sales practice violations due to securities broker Brett Aubrey Vetensky (also known as Brett Aubry Vetensky) [CRD: 4143000, Garden City, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brett Vetensky worked for Wells Fargo Clearing Services LLC from December 4, 2009, to June 11, 2019. […]

One or more investors apparently complained about securities broker Roxane Lillian Rose (also known as Roxane Rose, Roxanne Lillian Welz) [CRD: 2722816, Santa Fe, New Mexico], based on disclosures on FINRA BrokerCheck. Evidently, Roxane Rose has been registered with Merrill Lynch Pierce Fenner Smith Incorporated from September 22, 1999, to the present. Below, you can […]

Investors potentially experienced losses due to securities broker Steven Richard Baaden (also known as Steve Baaden [CRD: 1266766, Dallas, Texas], according to disclosures on FINRA BrokerCheck. It appears that Steven Baaden worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 2011 to January 2013, and is currently registered with Oppenheimer Co. Inc. since February […]

Investors might have sustained losses because of securities broker Rodney David Potratz [CRD: 2367896, Clive, Iowa], according to disclosures on FINRA BrokerCheck. Apparently, Rodney Potratz worked for FSC Securities Corporation from October 7, 2003 to November 3, 2023, before registering with Osaic Wealth Inc. on November 3, 2023. Keep reading to learn more about the […]

Investors apparently complained about securities broker Randy Harris Schild [CRD: 2410144, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Schild has worked for Merrill Lynch Pierce Fenner Smith Incorporated since April 12, 2013. Keep reading to learn more about Schild’s disclosures involving client disputes and alleged sales practice violations. Merrill Lynch […]

Investors might have sustained losses because of securities broker Leonard Neil Rich [CRD: 375427, Uniondale, New York], according to disclosures on FINRA BrokerCheck. It appears that Leonard Rich has been registered with Joseph Gunnar Co. LLC since February 24, 2003. Keep reading to learn more about the securities broker’s disclosures and what they might mean […]

Investors might have sustained losses because of securities broker Ivanhoe Vincent Ffriend (also known as Ivanhoe Vincent Friend, Ivan Ffriend, and Ivan Friend) [CRD: 1013083, New Rochelle, New York], according to disclosures on FINRA BrokerCheck. Evidently, Ivanhoe Ffriend worked for multiple securities firms over the years, including J.P. Turner Company LLC and North Ridge Securities […]

Investors apparently complained about securities broker Howard Jeffrey Douglas [CRD: 1043662, Dix Hills, New York], according to disclosures on FINRA BrokerCheck. Apparently, Douglas worked for Equitable Advisors LLC from June 1, 2005, to December 7, 2021. He subsequently registered with APS Wealth Management LLC, American Portfolios Advisors Inc., American Portfolios Financial Services Inc., and currently […]

Investors apparently complained about securities broker Edward Terral Hill (also known as Ed Hill) [CRD: 6008804, West End, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Edward Hill has worked for LPL Financial LLC in North Carolina since March 1, 2018. Previously, he worked for Edward Jones from January 27, 2012, […]