Investors have reportedly disputed the sales practices of securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Tighe worked for Morgan Stanley from June 1, 2009, to January 14, 2025. Keep reading for details about Tighe’s disclosures. Morgan Stanley Disaffiliated With Tighe For Alleged […]

Investors apparently complained about securities broker Walter Vincent Nelson (also known as Vince Nelson) [CRD: 2275929, Overland Park, Kansas], according to disclosures on FINRA BrokerCheck. Evidently, Walter Nelson worked for Arete Wealth Management LLC in Chicago, Illinois, and Arete Wealth Advisors LLC in Rockwall, Texas, from July 17, 2020, to May 1, 2025. He is […]

Investors have reportedly disputed the sales practices of securities broker Michael Jerome Lickiss Jr. [CRD: 5135936, Danville, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Lickiss worked for Purshe Kaplan Sterling Investments from July 3, 2024, to January 13, 2025; Arkadios Capital from December 6, 2021, to July 5, […]

Investors apparently complained about securities broker Prakash Verma (also known as Mike Panjabi, Ramprakash Panjabi, and Mike Verma) [CRD: 4760483, Leander, Texas], based on disclosures found on FINRA BrokerCheck. Evidently, Verma worked for NYLIFE Securities LLC (CRD#: 5167) from November 17, 2004, to June 2, 2025. Read on to find out more about the disclosures […]

Investors apparently complained about securities broker Andrew Thomas Roberson (also known as Andy Roberson) [CRD: 4143407, Walnut Creek, California], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Roberson has worked for Emerson Equity LLC since August 11, 2025, as an investment adviser and since August 14, 2025, as a broker. He […]

One or more investors possibly experienced losses because of securities broker Chad Dwight Faulkenberry [CRD: 4827957, Orlando, Florida], according to publicly available information on FINRA BrokerCheck. Evidently, Faulkenberry worked for Charles Schwab Co. Inc. from July 14, 2014, to June 13, 2024. Read on to learn more about Faulkenberry’s disclosures. Florida Office Of Financial Regulation […]

FINRA brought a complaint against securities broker Nana Kwame Kwakye-Bissah [CRD: 7044974, Washington, District of Columbia], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kwakye-Bissah worked for LPL Financial LLC from July 27, 2023, to October 7, 2024; Fidelity Brokerage Services LLC from May 14, 2020, to June 10, 2023; and […]

Investors might have sustained losses through securities broker Sean Francis Mostero [CRD: 6447158, Torrance, California], according to public information found on FINRA BrokerCheck. Evidently, Mostero worked for First Allied Securities Inc. from July 7, 2017, to September 8, 2022, Cetera Advisors LLC from September 8, 2022, to May 3, 2023, and LPL Financial LLC from […]

Investors might have sustained losses because of securities broker Huanwei Huang (also known as Andy Huang) [CRD: 3268328, Brooklyn, New York], according to disclosures on FINRA BrokerCheck. Notably, Huang joined Glendale Securities Inc. on November 2, 2005. Keep reading to find out more about the disclosures concerning Huanwei Huang. Glendale Securities Investor Accused Andy Huang […]