Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Christian Eduardo De Berardinis (also known as Christian DeBerardinis) [CRD#: 4312327, New York, New York]. Christian De Berardinis worked for Morgan Stanley from July 2015 to July 2023. Recent disclosures raise concerns about De Berardinis’ conduct, including allegations of participating in unapproved private securities […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ceondre LaQuan Colvin [CRD: 7329753, Pittsburgh, Pennsylvania]. Ceondre Colvin worked for NYLIFE Securities LLC from September 2022 to June 2024. Prior to this, he held positions at non-securities-related employers and managed his own businesses. Recent disclosures raise concerns about Colvin’s professional conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Theodore William Byrer (also known as Ted Byrer) [CRD: 2980696, Indianapolis, Indiana]. Theodore Byrer previously worked for Morgan Stanley from November 2013 to April 2023, among other firms, including Raymond James & Associates, A.G. Edwards & Sons, and International Assets Advisory. Recent disclosures raise […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Stephen Stocks [CRD: 2600346, Paradise Valley, Arizona]. Stocks has a lengthy employment history, including working for Morgan Stanley DW Inc. from 2009 to 2021, and working for Prospera Financial Services Inc. since 2022. However, Stocks has been involved in client disputes and regulatory […]

Investors possibly experienced losses because of securities broker Janet T. Doherty [CRD: 2073278, Staten Island, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Doherty worked for OSAIC Wealth Inc. from June 15, 2004, to February 8, 2024. Doherty also joined Cetera Advisors before working for both Vanderbilt Securities and Vanderbilt […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Gabriel Ruiz [CRD: 7426643, Roseland, New Jersey], according to disclosures on BrokerCheck. Evidently, Gabriel Ruiz worked for ADP Broker-Dealer Inc. from December 20, 2021, to January 24, 2023. Below, you’ll find a summary of Ruiz’s disclosures. FINRA Barred Ruiz For Refusing To Produce Documents In Investigation Particularly, […]

Investors complained about securities broker Andrew Joseph Egber (also known as Andy Joseph Egber), and Financial Industry Regulatory Authority (FINRA) barred him from the securities industry [CRD: 1894585, Bethesda, Maryland, according to disclosures on FINRA BrokerCheck. Evidently, Andrew Egber worked for Steward Partners Investment Solutions LLC from May 27, 2022, to April 18, 2024, Raymond […]

Investors might have sustained losses due to Michael Craig Brickman [CRD: 4042866, Paramus, New Jersey], and FINRA barred the securities broker, according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brickman worked for Pruco Securities LLC from May 25, 2018, to August 9, 2023. Continue reading to learn more about the nature […]

Investors might have sustained losses due to securities broker Lawrence William Waller II [CRD: 3232644, Atlanta, Georgia], given the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keep reading to learn more about Waller's disclosures. Waller worked for firms including Securities America Inc., WRP Investments Inc., Stonex Securities Inc. (SA Stone Wealth Management Inc.), […]