Investors potentially experienced sales practice violations by securities broker John Demetrios Polemis (also known as John Dimitri Polemis and John Demitrios Polemis) [CRD: 4270012, New York City, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Polemis worked for Stirlingshire Investments from March 18, 2024, to September 5, […]

Investors apparently complained about securities broker Andrew Jonathan Tressler (also known as Andy Tressler) [CRD: 2776349, Raleigh, North Carolina], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tressler worked for Trident Partners Ltd. from September 8, 2015, to March 4, 2026, and has been registered with Modern Capital Securities Inc. since […]

Investors potentially experienced sales practice violations by securities broker Steven Charles Flahive [CRD: 2674387, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Steven Flahive worked for Wells Fargo Clearing Services LLC from January 21, 2016, to January 3, 2024. Investors are encouraged to continue reading to discover more about Steven […]

Investors apparently complained about securities broker Paul Raymond Nathe [CRD: 2015831, Fishkill, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nathe worked for Oppenheimer Co. Inc. as a securities broker beginning on June 5, 2007, and he has been registered with the firm as a financial advisor since September 13, 2007. […]

Investors apparently complained about securities broker Jeffery Alan Wimer (also known as Jeffrey Alan Wimer) [CRD: 2985293, Fort Lee, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wimer worked for Citigroup Global Markets Inc. from March 13, 2012, to March 21, 2024. Investors should review the information below to discover more […]

Investors potentially incurred losses because of securities broker Nicole Noel Middendorf (also known as Nikki Middendorf, Nicole Vandergriff, and Nikki Vandergriff) [CRD: 3251084, Minneapolis, Minnesota], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Middendorf has been registered with Raymond James Financial Services Inc. since April 28, 2017, and with Raymond James Financial Services […]

Investors apparently complained about securities broker Scott S. Gregory [CRD: 4426847, Decatur, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Gregory worked for Benjamin F. Edwards Company Inc. from July 3, 2023, to November 26, 2025. See the following information to find out more about this broker’s disclosures and what they […]

Investors apparently complained about securities broker Ronald Jay Naegle (also known as Ron Naegle) [CRD: 2054461, Johnson City, Tennessee], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ronald Naegle worked for Woodbury Financial Services Inc. from September 4, 2009, to January 19, 2024, then for Osaic Wealth Inc. from January 19, […]

FINRA suspended securities broker Robert Wylie Goff (also known as Robert Mylie Goff and Rob Goff) [CRD: 4388671, East Lansing, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Goff worked for Wells Fargo Clearing Services LLC from October 18, 2022, to July 17, 2024, in East Lansing, Michigan, and previously for […]