Investors may have suffered financial harm by securities broker Joshua Keith Rushing (also known as Josh Keith Rushing) [CRD: 6399994, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joshua Rushing worked for Cetera Advisors LLC from December 1, 2023, to June 9, 2025, and previously worked for Edward Jones from November […]

Investors potentially experienced sales practice violations by securities broker Patricia Walker Pick (also known as Patricia Ann Pick and Patricia Ann Walker) [CRD: 726788, Vienna, Virginia], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Patricia Pick worked for Hightower Securities LLC from January 30, 2015, to June 5, 2023. Read on […]

Investors potentially incurred losses because of securities broker Ryan Anthony Derks [CRD: 5751523, Lee's Summit, Missouri], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ryan Derks worked for Berthel Fisher Company Financial Services Inc. from August 22, 2019, to September 30, 2021. See the following information to discover more about disclosures […]

Investors apparently complained about securities broker Christopher Stephen Johnson [CRD: 2041695, Cary, North Carolina], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Johnson worked for Raymond James Associates Inc. from August 16, 2019, to May 5, 2026. See below to discover more about the client disputes reported on Johnson's FINRA […]

Investors may have suffered financial harm by securities broker David Jay Betman [CRD: 1380281, West Conshohocken, Pennsylvania], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Betman has worked for Morgan Stanley since March 25, 2010, as a securities broker and since March 26, 2010, as a financial advisor. See the […]

Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]

Investors potentially experienced sales practice violations by securities broker Raffi Robert Vartanian (also known as Ralph Robert Vartanian) [CRD: 2261085, Coral Springs, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Vartanian worked for Morgan Stanley from September 8, 2023, to April 29, 2026, and previously worked for UBS Financial Services Inc. […]

Investors potentially incurred losses because of securities broker Chad Evan Polin [CRD: 4233680, Fort Washington, Pennsylvania], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polin worked for BB&T Securities LLC from January 2, 2018, to February 17, 2021, and later worked for Truist Investment Services Inc. and Truist Advisory Services […]

Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]