Investors potentially incurred losses because of securities broker Pamela Nisbet McWhorter (also known as Pam McWhorter, Pamela McWhorter-Libby, and Pamela Hurley) [CRD: 1137851, Smithfield, Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McWhorter worked for Edward Jones from February 1, 2018, to April 1, 2024, and later registered with Newbridge Securities Corporation […]

Investors have reportedly disputed the sales practices of securities broker Ricardo Nkrumah Rose (also known as Richard Rose) [CRD: 4225756, Brooklyn, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ricardo Rose worked for Arive Capital Markets from October 27, 2015, to April 23, 2024. Investors should keep reading to […]

Investors might have sustained losses due to securities broker Jason Kimber [CRD: 6244188, Logan, Utah], based on disclosures on Financial Industry Regulatory Authority BrokerCheck. Jason Kimber worked for J.W. Cole Financial Inc. beginning May 8, 2018, and later became registered with J.W. Cole Advisors Inc. starting November 24, 2020. The information below summarizes client disputes […]

Investors apparently complained about securities broker Allan Eugene Rosen [CRD: 1146570, Wailuku, Hawaii], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Rosen worked for Cetera Wealth Services LLC beginning December 5, 2007, and later for Cetera Investment Advisers LLC beginning June 29, 2023, after previously working for Cetera Advisor […]

FINRA sanctioned securities broker James Daniel Lang (also known as J. Dan Lang) [CRD: 2959057, Westlake Village, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lang has been registered with Independent Financial Group LLC since October 9, 2020, and previously worked for Ball Company from August 25, […]

Investors potentially incurred losses because of securities broker Franklin Lainez [CRD: 7721324, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lainez has worked for TD Private Client Wealth LLC in Staten Island, New York, since June 1, 2023, and for the firm’s New York, New York, […]

Oklahoma Department of Securities and FINRA sanctioned securities broker David Jerry Love [CRD: 4788074, Oklahoma City, Oklahoma], and investors complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Love worked for LaSalle St. Securities LLC from September 2, 2021, to May 31, 2024, and previously for ICMA-RC Services LLC from […]

Investors might have sustained losses because of securities broker Leizl Manapsal Lacida (also known as Leizl Manapdal Lacida) [CRD: 6393273, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lacida worked for NYLIFE Securities LLC from April 25, 2016, to October 2, 2024. Read below to learn more about […]

Investors have reportedly disputed the sales practices of securities broker Jose Abel Gamez (also known as Joe Gamez) [CRD: 4292479, San Antonio, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jose Gamez worked for Raymond James Financial Services Inc. from April 3, 2017, to July 7, 2025. See the […]