Investors potentially experienced losses because of securities broker Stephen Romney Swensen (also known as Stephen Swenson) [CRD: 2885578, Clearfield, Utah], according to disclosures on FINRA BrokerCheck. According to the regulator, Stephen Swensen worked for J.W. Cole Financial Inc. from May 8, 2018, to July 2, 2018, and for Allegis Investment Services LLC from July 1, […]

Investors potentially experienced losses because of securities broker Rodney David Potratz [CRD: 2367896, Clive, Iowa], according to disclosures on FINRA BrokerCheck. According to the regulator, Potratz has worked for Osaic Wealth Inc. since November 3, 2023. Before that, he worked for FSC Securities Corporation from October 7, 2003, to November 3, 2023. Keep reading to […]

Investors might have received losses because of securities broker Mark Allen Carter (also known as Mark Carter) [CRD: 6387371, Charlotte, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Mark Carter worked for Pruco Securities LLC from September 8, 2014, to March 25, 2024. Here’s more about the securities broker’s disclosures. Pruco […]

Investors potentially experienced losses because of securities broker Julie Anne Darrah (also known as Julie Banuelos) [CRD: 2102014, Orcutt, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Julie Darrah worked for Mutual Securities Inc. from June 28, 2013, to January 4, 2022. Here’s more about the securities broker’s disclosures. Mutual Securities Inc. […]

Investors reportedly may have incurred losses due to securities broker Edward Carchia Jr. (also known as Ed Carchia Jr. and Edward Karchia Jr.) [CRD: 1328905, Paramus, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Edward Carchia worked for Morgan Stanley from June 1, 2009, to July 21, 2022. Here’s more about […]

Investors might have sustained losses due to securities broker David Edward Spellman [CRD: 6784263, San Antonio, Texas], according to disclosures on FINRA BrokerCheck. According to the regulator, Spellman has worked for Money Concepts Capital Corp. since June 30, 2017, and with Money Concepts Advisory Service since October 18, 2018. Here’s more about the disclosures concerning […]

Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]

Investors potentially experienced losses because of securities broker Andrew William Payne [CRD: 5607123, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Andrew Payne worked for UBS Financial Services Inc. from October 12, 2011, to August 17, 2023, and Aegis Capital Corp. from August 2, 2023, to April 11, 2024. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Theresa Allen (also known as Theresa Binkley, Theresa Givens) [CRD: 2183693, Newport Beach, California]. Allen has worked in the securities industry for 32 years, most recently registering with RBC Capital Markets LLC in April 2023. Prior to that, she was employed with First Republic […]