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 […]

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 […]