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 […]

Investors might have sustained losses due to securities broker Gregory Michael Cash (also known as Greg Cash and Gregory Alan Cash) [CRD: 2698196, Charlotte, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Cash worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated from August 15, 1997, to January 21, 2020, […]

FINRA barred securities broker Joseph Adam Eisler [CRD: 2503507, Blue Bell, Pennsylvania] and investors complained about him, according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Eisler worked for LPL Financial LLC from December 19, 2022, to March 27, 2025, and worked for Morgan Stanley between June 1, 2009, and December […]

Investors potentially experienced losses due to securities broker Ralph William Stockemer [CRD: 1844056, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stockemer has been registered with Northwestern Mutual Investment Services LLC since July 5, 2007. Below, you can discover more about the allegations reported about this broker. Stockemer Disclosed Misappropriation […]

One or more investors apparently complained about securities broker William Tenpenny (also known as Will Tenpenny) [CRD: 5606390, Spring Hill, Tennessee], according to publicly available information on FINRA BrokerCheck. Evidently, William Tenpenny has worked for Edward Jones since May 6, 2009, serving as both a broker and investment adviser at the firm's Spring Hill, Tennessee […]

Investors might have sustained losses because of securities broker Stephen Romney Swensen (also known as Stephen Swenson) [CRD: 2885578, Clearfield, Utah], according to disclosures on FINRA BrokerCheck. It appears that Stephen Swensen worked for J.W. Cole Financial Inc. from May 8, 2018, to July 2, 2018. Keep reading to learn more about the investor disputes […]