Investors potentially incurred losses because of securities broker Christopher John McCaffrey [CRD: 2735236, Napa, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCaffrey worked for Morgan Stanley from June 1, 2009, to February 13, 2024. Investors should review the information below to discover more about McCaffrey’s disclosures. Morgan Stanley Smith Barney LLC […]

Investors apparently complained about securities broker Stephen R. Mihalek [CRD: 4403050, Pepper Pike, Ohio], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mihalek worked for J.P. Morgan Securities LLC from October 1, 2012, to January 14, 2024, and has been registered with Morgan Stanley since January 12, 2024. Read on to […]

Investors potentially experienced sales practice violations by securities broker Stephen Peter Melz [CRD: 1932994, West Newbury, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Melz has been registered with Merrill Lynch since June 8, 2012. Investors are encouraged to continue reading to learn more about Melz’s disclosures. Merrill Lynch Investor Accused Melz […]

Investors apparently complained about securities broker Aaron Joel Davis [CRD: 4746025, Frisco, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Davis worked for Edward Jones beginning on March 9, 2004, as a securities broker and beginning on March 5, 2007, as a financial advisor. Read on to discover more about […]

Investors have reportedly disputed the sales practices of securities broker Kenneth Louis Goldhoff [CRD: 1186205, Tucson, Arizona], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kenneth Goldhoff has been registered with UBS Financial Services Inc. since February 9, 2007. See the following information to find out more about Goldhoff’s disclosure history. […]

Investors might have sustained losses due to securities broker Richard Stephen Pluta [CRD: 1232948, Greenwich, Connecticut], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pluta has been registered with Merrill Lynch since January 26, 1984, and has been registered as a financial advisor with the same firm since October 22, 1990. See the […]

Investors potentially experienced sales practice violations by securities broker Kent Eric Engelke [CRD: 1421164, Glen Allen, Virginia], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kent Engelke has worked for Capitol Securities Management Inc. since August 22, 2008. Investors are encouraged to continue reading to discover more about Engelke’s disclosures. Capitol […]

Investors have reportedly disputed the sales practices of securities broker Jim Eugene Scala Jr. [CRD: 2493873, Valley Village, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scala worked for PHX Financial Inc. beginning October 29, 2014, and he has been registered with that firm since that date. Keep reading to discover more […]

Investors have reportedly disputed the sales practices of securities broker Lawrence Aloysius Whipple III (also known as Trey Whipple) [CRD: 2701809, Wayzata, Minnesota], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Whipple worked for Merrill Lynch from September 4, 2015, to October 3, 2025. Investors are encouraged to continue reading to […]