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 […]

FINRA barred securities broker Mohammed Arif Salim [CRD: 7126671, New York, New York], according to publicly available information on FINRA BrokerCheck. It appears that Mohammed Salim worked for Morgan Stanley from November 18, 2022 to November 5, 2024, and Charles Schwab Co. Inc. from December 2, 2021 to November 15, 2022. Read the following sections […]

Investors might have sustained losses because of securities broker Wendell Holmes Trapp III (also known as Trey Trapp) [CRD: 6177720, Belden, Mississippi], according to disclosures on FINRA BrokerCheck. Wendell Trapp worked for Edward Jones from March 7, 2017 to March 5, 2024, and for San Blas Securities LLC from May 10, 2024 to June 10, […]

FINRA barred securities broker Edgar Sarkis Shanoyan [CRD: 6355599, Rutherford, New Jersey] and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Shanoyan worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 27, 2016, to October 19, 2023. Keep reading to learn more about the […]