Investors potentially experienced sales practice violations by securities broker Gregory Wayne Berg [CRD: 3081088, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Berg worked for LPL Financial LLC from August 23, 2023, to January 5, 2026, and previously worked for Merrill Lynch from July 27, 2005, to August 25, 2023. […]

Investors potentially incurred losses because of securities broker Cedric Percell Powell [CRD: 3249130, Tampa, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Powell worked for Ameriprise Financial Services LLC from June 24, 2021, to June 10, 2025. Investors should review the information below to discover more about Powell’s disclosures. Ameriprise […]

Investors apparently complained about securities broker Robert Ronald Obraitis [CRD: 2124486, Lansdowne, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Obraitis worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. from February 21, 2014, to April 17, 2025, and has been registered with Summit Financial LLC since April 15, […]

SEC barred securities broker James Dale Warring [CRD: 3198200, Rockville, Maryland], and investors complaint about him, based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Warring worked for Emerson Equity LLC from June 9, 2023, to August 1, 2025; DAI Securities LLC from November 23, 2020, to May 15, 2023; and […]

Investors might have sustained losses due to securities broker David Nathan Cohen [CRD: 5083883, Yonkers, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Cohen worked for Cetera Investment Services LLC from June 20, 2019, to December 10, 2025. Investors should continue reviewing this information to learn more about the disclosures […]

Investors apparently complained about securities broker George Mauae Purdy [CRD: 5865750, Kailua Kona, Hawaii], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Purdy worked for Cetera Wealth Services LLC beginning on January 13, 2025, and for Cetera Investment Advisers LLC beginning on January 24, 2025, following prior registrations with firms […]

Investors have reportedly disputed the sales practices of securities broker William Hohill Song [CRD: 4008256, Bakersfield, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Song has worked for LPL Financial LLC since November 30, 2022, after previously being registered with Wells Fargo Clearing Services LLC from December 7, 2017, […]

Investors have reportedly disputed the sales practices of securities broker Kyle Mitchell McLaughlin [CRD: 2614967, Cincinnati, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McLaughlin worked for Morgan Stanley from September 23, 2013, to August 27, 2024, and currently works for RBC Capital Markets LLC since August 22, 2024. Read below […]

One or more investors possibly experienced losses due to securities broker Thaddaeus Daniel Allen [CRD: 5644772, Topeka, Kansas], according to disclosures on FINRA BrokerCheck. Notably, Allen worked for Edward Jones from April 14, 2009 to August 15, 2022, and is currently registered with Smith Moore Co. as of August 12, 2022. Keep reading to find […]