Investors might have sustained losses due to securities broker Carter J. Damm [CRD: 8101686, Lincoln, Rhode Island], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Damm has been registered with Merrill Lynch since August 12, 2025, as a securities broker and since November 13, 2025, as a financial advisor. Keep […]

Investors potentially incurred losses because of securities broker Chad Evan Polin [CRD: 4233680, Fort Washington, Pennsylvania], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polin worked for BB&T Securities LLC from January 2, 2018, to February 17, 2021, and later worked for Truist Investment Services Inc. and Truist Advisory Services […]

Investors may have suffered financial harm by securities broker Joseph Anthony Monaco Jr. [CRD: 1398158, Melville, New York], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Monaco worked for Oppenheimer Co. Inc. from June 7, 2023, to December 6, 2024, and previously worked for Stifel Nicolaus from June 25, 2014, to […]

Investors have reportedly disputed the sales practices of securities broker Christiana O. Webb (also known as Christina Webb) [CRD: 5116707, Atlanta, Georgia], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Webb worked for Morgan Stanley from June 1, 2009, to September 10, 2024, before registering with Truist Investment Services Inc. on November 14, […]

Investors potentially incurred losses because of securities broker Arthur Roy McPherson II (also known as Art McPherson) [CRD: 2245364, Melbourne, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McPherson has been registered with World Equity Group Inc. since July 1, 2019, and ProStatis Financial Advisors Group since February 25, 2019, […]

Investors potentially experienced sales practice violations by securities broker Steven Wallace Schmitt [CRD: 4486457, Paramus, New Jersey], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schmitt worked for Raymond James Associates Inc. since November 9, 2022, and previously worked for Morgan Stanley from October 7, 2016, to November 29, 2022. […]

Investors potentially incurred losses because of securities broker Araya Mesfin [CRD: 4828859, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesfin worked for UBS Financial Services Inc. from January 13, 2014, to February 1, 2024, and has been registered with Morgan Stanley since January 18, 2024. Investors are […]

Investors apparently complained about securities broker Paul Raymond Nathe [CRD: 2015831, Fishkill, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nathe worked for Oppenheimer Co. Inc. as a securities broker beginning on June 5, 2007, and he has been registered with the firm as a financial advisor since September 13, 2007. […]

Investors potentially experienced sales practice violations by securities broker Douglas Robert Fisher [CRD: 3196973, Grand Rapids, Michigan], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Fisher worked for LPL Financial LLC from February 23, 2009, to November 25, 2020. Keep reading to learn more about Fisher’s disclosures. LPL Financial Investor Accused […]