Investors apparently complained about securities broker Santiago J. Torres Jr. [CRD: 5644622, Willow Street, Pennsylvania], according to disclosures on FINRA BrokerCheck. It appears that Torres worked for Truist Investment Services Inc. from February 17, 2021, to October 18, 2024, and BB&T Securities LLC from January 2, 2018, to February 17, 2021. Keep reading to learn […]

Investors reportedly may have incurred losses because of securities broker Paul Wayne Edwards [CRD: 5967107, Palm Bay, Florida], according to disclosures on FINRA BrokerCheck. Apparently, Paul Edwards worked for NYLIFE Securities LLC from August 20, 2012, to June 2, 2023. Keep reading to learn more about the client complaints involving this broker. FINRA Sanctioned Edwards […]

Investors apparently complained about securities broker Julie Anne Darrah (also known as Julie Banuelos) [CRD: 2102014, Orcutt, California], according to disclosures on FINRA BrokerCheck. Evidently, Julie Darrah worked for Mutual Securities Inc. from June 28, 2013, to January 4, 2022. She also held an ownership role in Vivid Financial Management Inc. during her financial industry […]

Investors reportedly may have incurred losses because of securities broker Jeffery Bryant Sanders [CRD: 6598339, Union, South Carolina], according to disclosures on FINRA BrokerCheck. It appears that Bryant worked for Woodmen Financial Services Inc. from October 20, 2020, to February 20, 2024. Keep reading to learn more about Bryant’s disclosures. Woodmen Financial Services Inc. Investor […]

Investors potentially experienced losses because of securities broker Stephen Romney Swensen (also known as Stephen Swenson) [CRD: 2885578, Clearfield, Utah], according to disclosures on FINRA BrokerCheck. According to the regulator, Stephen Swensen worked for J.W. Cole Financial Inc. from May 8, 2018, to July 2, 2018, and for Allegis Investment Services LLC from July 1, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Mark Douglas Erwin (CRD: 3039639, Napa, California). Erwin has been registered with Commonwealth Financial Network since January 5, 2006, and has over 26 years of experience in the financial industry. Recent disclosures reveal concerns about Erwin’s conduct, including allegations of unauthorized distributions and unsuitable […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Paul Wilson Jr. (also known as David P. Wilson Jr., David Wilson) [CRD: 2298962, Haverford, Pennsylvania]. Wilson has accumulated 32 years of experience in the securities industry and has been associated with seven different firms during his career. As of December 2024, he […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Karen Irene Schmidt (also known as Karen Irene Dry, Karen Irene Scher, and Karen Irene Moore) [CRD: 5669963, Woodland Hills, California]. Schmidt joined Northwestern Mutual Investment Services LLC (NMIS) on August 11, 2010. Recent investor claims about her involve allegations related to her recommendations. […]

Investors might have sustained losses due to securities broker Neil Jeffrey [CRD: 836146, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Neil Lerner worked for Morgan Stanley from October 19, 2018, to February 13, 2024. Here’s an overview of Neil Lerner’s disclosures. Morgan Stanley Investor Accused Lerner Of […]