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 […]

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 […]