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 […]

FINRA barred securities broker Johnathon Sawaged [CRD: 7061837, Poughkeepsie, New York], according to publicly available information on FINRA BrokerCheck. Notably, Johnathon Sawaged worked for B. Riley Wealth Management from July 22, 2022 to September 4, 2024, and prior to that, at National Securities Corporation from September 18, 2019 to July 22, 2022. Read the following […]

Investors potentially experienced sales practice violations due to securities broker George John Cairnes (also known as George Cairnes) [CRD: 4068906, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. George Cairnes worked for Wells Fargo Clearing Services LLC from January 3, 2011 to July 24, 2023, and later at Chelsea Financial Services […]

Investors might have sustained losses because of securities broker Brendan Riley Cefalu [CRD: 6492130, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cefalu has worked with Morgan Stanley since July 11, 2022, as a broker and since December 24, 2022, as an investment adviser. See the following information to […]

Investors might have sustained losses because of securities broker William Edward Clary [CRD: 2300201, Medford, Oregon], based on publicly available information reported on FINRA BrokerCheck. William Clary has worked with D.A. Davidson & Co. in Medford, Oregon, since September 9, 2009. Keep reading to understand more about the disclosures involving William Clary, including pending allegations […]